Full Job Description
This role will perform Centralized Supervision Unit (CSU) sales supervision, including more complex risk-based reviews in targeted areas requiring technical expertise for a variety of products and investment strategies involving: equities, fixed income, mutual funds, unit investment trusts, options, separately managed accounts, etc.
Partner with CSU Senior Managers on issues requiring extensive research, including resolving field leader escalations. Provide coaching and training to Sales Supervision Managers on complex investment and financial topics. Manage and influence multiple relationships across the organization, including product partners across business lines, field leaders, and senior level leaders.
Key Responsibilities
- Perform front-line supervision work of advisor activities to support the team. Partner with Senior Managers when there is an issue that requires extensive research, including field leader escalations. As needed, perform additional risk-based reviews in targeted areas.
- Conduct coaching and specific training to team members on ambiguous or new investment, regulatory and financial topics. Perform supplemental quality reviews of SSMs and provide direct feedback and coaching to them and their leaders. Lead reviews of Operating Procedures and resources, soliciting feedback and implementing revisions. Provide oversight of AMP India processes, design and implement testing plans, and present results. Participate in monthly consistency reviews and lead development of job aids and other resources to improve consistency on team. Identify and implement additional controls as needed.
- Represent team in regional field leader calls including communications related to business policy, supervisory impacts and tool changes. Manage and influence multiple relationships across the organization, including product partners across business lines, field leaders and senior level leaders. Act as liaison among business leaders and staff to gather information and share best practices, and to ensure initiatives are executed appropriately. Assist senior managers in handling complex field leader escalations. Provide support during FOI/Regulatory requests and examinations, gathering data and preparing/presenting materials.
- Responsible to identify opportunities to drive process enhancements, mitigate risk and standardize using Lean principles and Idea Share. Assist with prioritization, determine the impacts of improvements on resources and supervisory tools, and create supporting materials as needed. Collaborate with peers to share best practices and incorporate efficiencies developed in other areas. Influence and drive adoption of department innovation initiatives.
Required Qualifications
- Bachelor's degree or equivalent and relevant work experience.
- At least 7 years financial services industry experience with proven success in sales supervision, compliance or other advisor-facing functions.
- Active Series 7 and 24 required.
- Active Series 9/10 or 4 & 53, if not actively held, ability to obtain within 120 days of start date. If multiple exams are required, they can be done consecutively, and an additional 90-day added after successfully passing each exam.
- State securities agent registration (S63 or S66), state IAR registration (S65 or S66), if not actively held, ability to obtain within 120 days of start date. If multiple exams are required, they can be done consecutively, and an additional 90-day added after successfully passing each exam.
- Deep technical expertise in Trade Supervision function
- Expertise in process development and Specialized depth of product knowledge for complex products or investment strategies.
- Strategic thinker with ability to influence cross-organizationally.
- Proven ability to represent the department in interactions with senior leaders, business partners and regulators.
- Demonstrated problem solving and analytical skills.
- Ability to coach and provide constructive feedback to both colleagues and advisors through education, using a supportive and consistent approach.
- Proven ability to conduct difficult client conversations and effectively deliver unfavorable messages about compensation adjustments and/or discipline with advisors, Field RPs, and other leaders.
- Ability to make sound and timely independent decisions on complex matters that require strong judgment and don't have clear answers.
- Strong written and verbal communication skills.
- Experience recording evidence of supervision in a fact-based manner.
- Ability to work effectively and efficiently both individually and in a team environment.
