Manager, Sales Supervision

Advisor Group•Scottsdale, AZ

1d•$100,000 - $110,000•Hybrid

About The Position

As a member of our supervision organization, you will engage directly with our customers – over 11,000 Financial Professionals across the country, helping grow and support their firms. As part of the Sales Supervision team in the broader Operations and Technology Solutions organization, you will work closely with other team members in all aspects of the supervision of annuity and alternative investment transactions. The Manager will monitor daily workflows to ensure service levels are met, supporting our team of Sales Supervision Principals, Senior Principals and Team Leads. Additional responsibilities will include driving firm initiatives, vendor and sponsor relationship management, technological support, Q&A monitoring, policy updates and change proposals, risk mitigation and quality controls supervision. Your contributions will ensure that our Financial Professionals get best-in-class service in every supervision-related interaction with Osaic.

Requirements

FINRA Series 7, 24 (or 9/10), 63 (or 66), 53 required
At least three years’ related experience in alternative investment products
At least two years related management or team leadership experience
Proficient with Windows and Microsoft applications such as Word, Excel, and Outlook.
This role requires someone who is self-motivated and who can motivate others.
This position also requires flexibility, the ability to adapt in a changing environment and re-prioritize appropriately.
Ability to effectively handle and prioritize multiple tasks in a fast-paced environment to meet defined deadlines
Excellent communication & organizational skills.
STRONG customer focus orientation.
High attention to detail, analytical mindset, and problem-solving skills.
Be able to work independently and maintain elevated levels of quality.
Self-motivated individual capable of meeting departmental expectations and deadlines
Ability to participate and contribute to a team environment.

Nice To Haves

FINRA Series 65 (or 66) and/or Series 4
Understanding of Pershing and/or NFS systems.
Familiarity with the CAIS Platform

Responsibilities

Supervises team of alternative investment focused principals and team leads within Sales Supervision
Manages and improves upon workflows, form & document structure, customer service engagements and partnerships with internal teams within Osaic
Primary supervisor for escalated suitability reviews of Non-Traded Alternative Investment transactions requiring firm pre-approval such as Non-Traded REITs, Managed Futures, and 1031 Exchanges
Back-up supervisor for escalated suitability reviews of complex variable annuity transactions and ensures adherence to FINRA Rule 2330, often requiring advanced technical and product knowledge
Maintain relationships with third party vendors who are providing key technologies, maintaining department needs as technologies are upgraded and user interfaces change
Proactively engages and partners with internal departments within the organization to identify and mitigate risk, create roadmaps for key initiatives and communicates changes clearly and frequently
Act as relationship manager for sponsor company key contacts, negotiating workflow or form changes/requirements while maintaining contractual obligations
Acts as the primary mentor, technical resource, and coach to other Sales Supervision Principals on team
Performs periodic quality assurance inspections on the transactions that were reviewed by Principals
Performs research and actively participates in projects as directed, to help monitor, test and improve department policies and procedures to meet Advisor needs and comply with industry regulations
Maintains an ongoing positive relationship with Advisors and First Line Supervisors in collaboration with the Field Supervision team
Closely monitors daily workflows to ensure service levels are met, the workload is evenly distributed, and ensures regulatory deadlines are met
Remains fully informed of firm rules, guidelines and procedures as well as regulatory changes