Senior Manager, RJFS Supervisory Solutions
About The Position
Lead the Leaders. Strengthen Supervision. Make an Impact. Every day, financial advisors make decisions that impact the financial lives of their clients. Behind them is a strong supervisory framework, thoughtful guidance, and leaders who help navigate complexity while protecting client interests and maintaining the integrity of the business. We are looking for a Senior Manager, RJFS Supervisory Solutions to lead a team of Home Office Branch Managers responsible for providing supervisory oversight and support to branches participating in the Supervisory Solutions program. This role is for a leader who thrives in complex environments, enjoys developing talent, and can balance regulatory expectations with practical business solutions. You will lead experienced supervisory professionals, influence supervisory strategy, partner with leaders across the firm, and help ensure advisors have the guidance and oversight they need to serve clients with confidence. The challenges are complex. The decisions matter. The opportunity to make an impact is significant.
Requirements
- Strong understanding of securities industry rules, regulations, and supervisory practices
- Working knowledge of investment products, financial markets, and advisory activities
- Excellent analytical, critical thinking, and problem-solving skills
- Strong written and verbal communication abilities
- Ability to manage multiple priorities in a fast-paced environment
- Proven ability to influence and build credibility across a broad range of stakeholders
- Strong organizational skills and attention to detail
- Ability to coach, mentor, and lead others
- Bachelor’s degree (B.A.) from four-year college or university, and a minimum of eight (8) years’ experience in a financial services firm / supervision
- 3 to 6 years of managerial experience preferred, including experience leading direct reports or cross-functional reporting resources
- Series 7, Series 9/10 or 24, 66 or 63/65 is required
Nice To Haves
- Series 53, Life, Health, and Variable Annuity Insurance Licenses preferred
Responsibilities
- Lead, coach, mentor, and develop a team of Home Office Branch Managers
- Oversee supervisory programs, procedures, resources, and controls
- Monitor supervisory activity, trends, alerts, and risk indicators
- Partner with Compliance, Division Supervision, Division Management, and other stakeholders
- Lead initiatives that strengthen supervisory effectiveness and efficiency within the Supervisory Solutions program
- Represent Supervisory Solutions with advisors and leaders
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
Manager
