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Regional Supervision Manager

Company: Advisor Group
Location: Tempe
Posted on: June 6, 2021

Job Description:

Current Employees and Contractors Apply Here

Advisor Group Careers

Be a part of the team behind our success! At Advisor Group, we support more than 11,000 financial professionals, the people who help everyday Americans achieve their dreams. We're a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Field Supervision Opportunity in Financial Services

Regional Supervision Manager - SagePoint Financial

Preferred Location: 20 E. Thomas Road Phoenix, AZ 85012

Accepting candidates in all locations and remote

Summary:

The Regional Supervision Manager (RSM) is responsible for the review of brokerage and directly-held transactions as pre-review or within the back-office systems; ensuring those transactions are suitable, based on stated firm policies and procedures. The Regional Supervision Manager will also assist in the review of registered representatives' requests for approval of Outside Business Activities and completion of annual firm requirements such as the Annual Compliance Meeting, Annual Compliance Questionnaire and Firm Element requirements.

The Regional Supervision Manager will have a specific regional territory responsible for developing and maintaining relationships with the financial advisors within the region. The RSM will help coordinate efforts between other home office staff members to ensure business is processed in accordance with the firm's policies and procedures to protect the client, the firm and the Field Supervisor.

Responsibilities:

  • Ensures proper business and sales practices are followed by the daily review of brokerage and directly-held transactions.
  • Suitability Review of Variable Annuities and Alternative Investments
  • Works with financial professionals to address concerns and to educate concerning firm policies and procedures.
  • Works with management and other supervisory/compliance personnel on escalated sales practice issues.
  • Work independently to ensure department deadlines are met and service levels are maintained.
  • Provide extraordinary customer service to Woodbury representatives, handle incoming calls and respond to questions.
  • All other duties as assigned

Education Requirements:

  • Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Basic Requirements:

  • Minimum 3 years of related experience conducting suitability review of transactions.
  • FINRA Series 7 is required
  • FINRA 24 is required (Or, must be obtained within three months of hire)
  • Understanding of relevant FINRA and SEC rules and regulations concerning transaction suitability.
  • Ability to effectively handle and prioritize multiple tasks in a fast-paced team environment to meet defined deadlines.
  • Excellent analytical and problem-solving skills.
  • Ability to work in a time-sensitive environment.
  • Excellent written and oral communication skills, including the ability to diplomatically find solutions to assist advisors and internal business partners.

Preferred Requirements:

  • FINRA Series 4 & 53 preferred

Current Employees and Contractors Apply Here

Keywords: Advisor Group, Tempe , Regional Supervision Manager, Other , Tempe, Arizona

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