Supervision Manager
WTW•Miami, FL
•$135,000 - $185,000
About The Position
As the Supervision Manager, you’ll be responsible for overseeing the supervisory framework of the Registered Investment Advisor (RIA) business and Fixed Insurance Business (FIB). This role will ensure adherence with SEC and state regulations while supporting advisors and brokers in delivering high-quality client service. This role leads supervision processes, monitors advisor and broker activity, and partners with Compliance and Operations to mitigate risk and strengthen supervisory practices.
Requirements
- Oversee day-to-day supervisory activities for RIA advisors and licensed brokers
- Review and approve client accounts, investment recommendations, and advisory activities in accordance with firm policies and regulatory requirements
- Escalate and resolve supervisory issues, exceptions, and potential compliance risks in a timely manner
- Conduct advisor and broker oversight meetings to evaluate adherence to firm standards
- Ensure adherence to SEC regulations (e.g., Investment Advisers Act of 1940), state requirements, and internal policies
- Partner with Compliance to implement regulatory changes and maintain supervisory procedures
- Support internal and external audits and regulatory exams
- Maintain accurate records of supervisory reviews and approvals
- Serve as a primary point of contact for advisors and brokers regarding supervisory guidance and policy interpretation
- Provide coaching to advisors and brokers on risk management, client suitability, and best practices
- Assist with onboarding and ongoing training of advisors and brokers on supervision and compliance requirements
- Identify trends, emerging risks, and supervisory gaps; recommend process improvements
- Analyze account activities and client interactions for suitability and fiduciary alignment
- Collaborate with Compliance and Legal to handle escalations, complaints, and investigations
- Develop and enhance supervisory procedures, controls, and documentation
- Participate in technology enhancements to improve efficiency and oversight
- Create reporting dashboards and metrics for leadership on supervision effectiveness
Responsibilities
- Oversee day-to-day supervisory activities for RIA advisors and licensed brokers
- Review and approve client accounts, investment recommendations, and advisory activities in accordance with firm policies and regulatory requirements
- Escalate and resolve supervisory issues, exceptions, and potential compliance risks in a timely manner
- Conduct advisor and broker oversight meetings to evaluate adherence to firm standards
- Ensure adherence to SEC regulations (e.g., Investment Advisers Act of 1940), state requirements, and internal policies
- Partner with Compliance to implement regulatory changes and maintain supervisory procedures
- Support internal and external audits and regulatory exams
- Maintain accurate records of supervisory reviews and approvals
- Serve as a primary point of contact for advisors and brokers regarding supervisory guidance and policy interpretation
- Provide coaching to advisors and brokers on risk management, client suitability, and best practices
- Assist with onboarding and ongoing training of advisors and brokers on supervision and compliance requirements
- Identify trends, emerging risks, and supervisory gaps; recommend process improvements
- Analyze account activities and client interactions for suitability and fiduciary alignment
- Collaborate with Compliance and Legal to handle escalations, complaints, and investigations
- Develop and enhance supervisory procedures, controls, and documentation
- Participate in technology enhancements to improve efficiency and oversight
- Create reporting dashboards and metrics for leadership on supervision effectiveness
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What This Job Offers
Job Type
Full-time
Career Level
Manager
Education Level
No Education Listed
