Sales Supervision Manager overseeing advisor marketing and communications activities for compliance in a flexible environment. Collaborating and coaching advisors for performance improvement across multiple platforms.
Responsibilities
Supervising advisor marketing and communications activities
Collaborating with advisors and field leaders
Complete supervisory analysis using risk-based judgement
Communicate with advisors and field leaders regarding results of supervisory activity
Support the team’s efforts to innovate and improve process efficiency
Keep updated on changes in the regulatory environment
Requirements
Bachelor’s degree
3-5 years' relevant experience
Active SIE (Securities Industry Essentials)
Active Series 7 or the ability to obtain within 120 days
Active Series 63/65 or 66 or ability to obtain within 120
Active Series 24 or ability to obtain within an additional 120 days
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