Manager, Electronic Communications Supervision

Advisor Group•Scottsdale, AZ

7d•$90,000 - $100,000•Hybrid

About The Position

We are seeking a driven, motivated leader to join our Electronic Communications Supervision team as the Manager of Electronic Communications Supervision. The role is responsible for the oversight of all aspects of electronic communications of the firm’s Financial Professionals to ensure compliance with regulatory standards and internal policies. The ideal candidate is experienced in supervisory oversights of this nature, highly detail oriented, and proactive in identifying and mitigating risks. They possess strong leadership skills to manage and develop a high-performing team, thrive in a collaborative environment, and communicate effectively with financial professionals and internal partners. This individual demonstrates the ability to manage multiple priorities and projects.

Requirements

5+ years of experience in the financial services industry with significant experience in Supervision and/or Compliance.
FINRA Series 7 and 24 required, Series 63/66 or 65 preferred
Knowledge of financial industry compliance and regulations
Ability to read and interpret documents including FINRA, SEC and firm policies
Excellent written and oral communication skills, including the ability to diplomatically find solutions to assist financial professionals.
Must be able to work in a team environment and support other colleagues as needed.
Must be able to prioritize and handle multiple tasks and deadlines simultaneously

Nice To Haves

A collaborative professional with strong initiative, adaptability and strong judgement, committed to delivering exceptional service.
Familiarity with Arctera and Global Relay email review platforms

Responsibilities

Responsible for the daily oversight of the department personnel, workflow and processing procedures.
Review and analyze productivity, service levels and processing procedures to ensure company goals, regulatory requirements and service standards are met.
Monitors, reports, and enforces internal controls to ensure compliance with industry standards and the firm’s policies and procedures.
Build and maintain effective business relationships with internal departments, financial professionals, and external service providers.
Develop team members through coaching, training and performance management.
Serves as subject matter expert to financial professionals on matters pertaining to the department, as well as to internal business partners in understanding and complying with firm and regulatory requirements.
Manage and build effective business relationships with internal departments, financial professionals, and external service providers.
Exercise strong problem solving and decision-making skills
All other duties as assigned.