Supervision Manager - Financial Services
About The Position
At Alera Group, our Wealth Services team supports individuals and families in building, protecting, and transferring wealth through comprehensive financial planning and investment strategies. We’re seeking a Supervision Manager who will contribute to client relationships, financial strategy, and operational excellence. This role will focus on client advisory within the RIA space. About Alera Group Founded in 2017, Alera Group has grown to become the 14th largest broker of U.S. business. We are passionate about our clients’ success in Employee Benefits, Property & Casualty Insurance, Retirement Plan Services, and Wealth Services. With offices nationwide, our collaborative approach allows us to deliver national strength with local service. Why Alera Group Meaningful Impact: Help clients and employees navigate benefits programs that drive retention, engagement, and satisfaction Growth & Learning: Opportunities to deepen your expertise and gain exposure to a variety of clients and industries Collaborative Culture: Work in a team-oriented environment that values accountability, partnership, and the principles of The Collaborative Way
Requirements
- 5+ years of experience in supervision or compliance within an investment advisory or financial services environment
- Strong understanding of investment advisory supervision, advisor workflows, and regulatory expectations
- FINRA Series 65 or 66 registration required
- Ability to exercise sound judgment, work independently, and manage competing priorities effectively
- Strong written and verbal communication skills with the ability to influence and educate advisors
- Analytical mindset with strong critical‑thinking skills
- Relationship‑building and collaborative partnership
- Integrity, discretion, and sound judgment
- Strong organizational and follow‑through skills
- Solutions‑oriented approach to supervision and risk management
Nice To Haves
- FINRA Series 7 and/or Series 24
- Experience working within a multi‑entity RIA structure
- Familiarity with RIA custodial platforms and portfolio management or supervision technology
- Experience contributing to the design or enhancement of supervisory programs and controls
- CFP® preferred or encouraged
Responsibilities
- Provide hands‑on supervisory oversight of investment advisory activities to support a consistent, high‑quality advisor and client experience
- Interact directly with Investment Advisor Representatives to educate, guide, and reinforce supervisory expectations and firm policies
- Translate regulatory and supervisory requirements into clear, practical guidance that advisors can apply in their day‑to‑day work
- Support advisor confidence and consistency through fair, knowledgeable, and timely supervision
- Perform day‑to‑day and periodic supervisory reviews of advisory activity, including portfolio monitoring and issue escalation
- Utilize supervision and portfolio monitoring tools to identify trends, risks, and potential compliance issues
- Ensure supervisory documentation, reporting, and escalation practices align with regulatory requirements and internal standards
- Partner closely with Compliance, Operations, Technology, and leadership to address findings, resolve issues, and improve supervisory workflows
- Contribute to the development and refinement of scalable supervisory frameworks, controls, and procedures
- Support the growth of Alera Group’s Financial Services business by building supervision practices that scale with new advisors, entities, and platforms
- Identify opportunities to enhance supervisory effectiveness while balancing regulatory rigor and business needs
- Contribute insights and reporting that support proactive risk management and long‑term advisor retention
- Participate in projects tied to regulatory changes, business initiatives, and technology enhancements
Benefits
- Alera Group offers comprehensive benefits including medical, dental, vision, life and disability coverage, 401(k), generous PTO, and more.
- Role-specific learning paths
- Leadership development programs
- Technical and compliance training
- Industry certifications and continuing education support
- Peer learning and knowledge-sharing communities
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What This Job Offers
Job Type
Full-time
Career Level
Manager
Education Level
No Education Listed
Number of Employees
251-500 employees
