Senior Advisor, Branch Manager Supervisory Principal
About The Position
Thousands of advisors and branch professionals rely on strong supervision, sound judgment, and thoughtful guidance to serve clients with confidence. We are looking for a Senior Advisor, Supervisory Solutions to join our team. This role is for a professional who enjoys solving complex problems, navigating regulatory requirements, and partnering with advisors and branch leadership to manage risk while supporting business growth. You will review activity that requires supervisory oversight, identify emerging concerns, provide guidance on firm and regulatory requirements, and serve as a trusted resource to advisors, branch managers, and business partners. The work requires strong judgment. The regulations evolve. The questions are rarely identical. The impact is real.
Requirements
- Bachelor’s degree (B.A.) from four-year college or university, and a minimum of three (3) years’ experience in a financial services firm / supervision
- Series 7, 9/10 or 24, 66 or 65/63 required or the ability to obtain within an established timeframe.
- Remain calm and objective when addressing complex supervisory matters
- Balance risk management with practical business solutions
- Ask thoughtful questions and follow the facts
- Communicate difficult messages with professionalism and credibility
- Build trusted relationships across multiple business partners
- Enjoy interpreting regulations and translating them into actionable guidance
- Can identify patterns, trends, and emerging risks before they become larger issues
- Take ownership and work independently while collaborating effectively with others
- View every supervisory review as an opportunity to protect clients, advisors, and the firm
Responsibilities
- Perform supervisory reviews and approvals of client accounts, transactions, and documentation requiring oversight
- Provide supervisory support for RJFS producing branch managers as well as for financial advisors, and branch associates engaged with Supervisory Solutions
- Research and resolve complex account, suitability, and regulatory matters
- Monitor supervisory systems and reports to identify unusual activity, trends, or potential risks
- Escalate concerns appropriately and partner with supervision leadership and business stakeholders to achieve resolution
- Interpret and apply firm policies, industry regulations, and supervisory standards
- Help educate and guide advisors and branch personnel on regulatory developments, supervision practices, and policy changes
- Collaborate with field supervision, branch leadership, compliance, legal, and operational partners
- Recommend process improvements designed to strengthen supervisory effectiveness and risk management
- Stay informed on changes affecting the securities and advisory industry
Benefits
- medical
- dental
- vision
- life insurance
- critical illness insurance
- accident insurance
- disability benefits
- retirement savings
- paid time off (including vacation, holidays, and sick leave)
- parental leave
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What This Job Offers
Job Type
Full-time
Career Level
Senior
