Senior Manager, RJFS Supervisory Solutions
New
J
JobgetherFinancial Services
United StatesFull-TimeManager
Salary$100,000–$125,000
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Job Details
- Experience
- At least 8 years of experience within financial services or a comparable supervisory environment
- Required Skills
- Risk Management
Requirements
- Bachelor’s degree from a four-year college or university.
- At least 8 years of experience within financial services or a comparable supervisory environment.
- 3–6 years of managerial experience preferred, including experience leading direct reports.
- Strong understanding of securities industry rules, regulations, and supervisory practices.
- Working knowledge of investment products, financial markets, advisory activities, and financial services operations.
- Required licenses: Series 7 and Series 9/10 or Series 24.
- Required licenses: Series 66 or Series 63/65.
- Series 53 and Life, Health, and Variable Annuity Insurance licenses are preferred.
- Demonstrated ability to influence stakeholders, build credibility, and establish effective working relationships.
- Strong coaching, mentoring, people-management, and decision-making capabilities.
Responsibilities
- Lead, coach, mentor, and develop a team of Home Office Branch Managers.
- Oversee supervisory programs, procedures, resources, controls, and operating practices.
- Monitor supervisory activity, trends, alerts, and risk indicators to identify emerging concerns.
- Evaluate complex supervisory situations using regulatory knowledge and risk management principles.
- Partner with Compliance, Division Supervision, and other stakeholders to strengthen collaboration.
- Lead initiatives to improve the effectiveness and scalability of the Supervisory Solutions program.
- Represent the supervisory function with advisors and business leaders.
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