About the role
structured by ORIThe Supervisory Manager assists the business in managing its regulatory obligations, operational risk, and supervisory requirements. Join a team where your expertise shapes the future of financial services and client experiences.
What you will do
- Conduct suitability reviews for a variety of annuity and insurance products
- Escalate supervisory issues and recommend appropriate actions
- Partner strategically with field Supervisory Managers and registered personnel to resolve exceptions
- Review work items escalated internally by junior team members
- Deliver training to newly hired team members
What they are looking for
- Minimum 7 years of experience in the securities and investment industry
- Deep understanding of advisory services, products, and complex client accounts
- Working knowledge of US financial regulations, including FINRA rules
- Proven ability to make sound, risk-based decisions independently
- Strong research, analytical, and problem-solving skills
- Excellent interpersonal, verbal, and written communication skills
- Ability to collaborate across multiple levels of supervision
- Active and valid FINRA Series 7 license
- Active and valid FINRA Series 66 (or 63 and 65), 9/10 (or 4, 24, 53), and State Life & Health Insurance license, or ability to obtain within 120 days of hire
- Strong organization skills and attention to detail
- Demonstrated ability to work in a dynamic, evolving team environment
Nice to have
- Bachelor’s degree
- Experience delivering training and mentoring team members
- Experience driving process improvements and change initiatives
- Advanced analytical skills for identifying trends and patterns
- Experience influencing stakeholders and aligning teams to resolutions
- Strong project management skills
- Familiarity with digital solutions in wealth management
Full posting text
The Supervisory Manager assists the business in managing its regulatory obligations, operational risk, and supervisory requirements.
Join a team where your expertise shapes the future of financial services and client experiences. As a Central Supervisory Manager, you will play a key role in ensuring the integrity and suitability of our annuity and insurance offerings. Your insights and leadership will help us deliver exceptional service and maintain our reputation for excellence. Be part of a collaborative environment that values innovation, continuous improvement, and professional growth. Make a difference for our clients, our team, and your career.
As a Central Supervisory Manager in the Central Supervision team, you ensure the suitability and compliance of annuity and insurance products for our clients. You collaborate with colleagues across the organization to resolve supervisory issues and drive process improvements. You help train new team members and influence positive change. Together, we create solutions that make lives better and build long-term relationships with our clients.
Job Responsibilities
Conduct suitability reviews for a variety of annuity and insurance products
Escalate supervisory issues and recommend appropriate actions
Partner strategically with field Supervisory Managers and registered personnel to resolve exceptions
Review work items escalated internally by junior team members
Deliver training to newly hired team members
Identify and drive process improvements
Influence stakeholders and align them to final resolutions
Complete project work and additional tasks as assigned
Articulate findings and recommendations clearly to management
Maintain strong organization and attention to detail
Meet service level agreements and project deadlines through effective time management
Required Qualifications, Capabilities, and Skills
Minimum 7 years of experience in the securities and investment industry
Deep understanding of advisory services, products, and complex client accounts
Working knowledge of US financial regulations, including FINRA rules
Proven ability to make sound, risk-based decisions independently
Strong research, analytical, and problem-solving skills
Excellent interpersonal, verbal, and written communication skills
Ability to collaborate across multiple levels of supervision
Active and valid FINRA Series 7 license
Active and valid FINRA Series 66 (or 63 and 65), 9/10 (or 4, 24, 53), and State Life & Health Insurance license, or ability to obtain within 120 days of hire
Strong organization skills and attention to detail
Demonstrated ability to work in a dynamic, evolving team environment
Preferred Qualifications, Capabilities, and Skills
Bachelor’s degree
Experience delivering training and mentoring team members
Experience driving process improvements and change initiatives
Advanced analytical skills for identifying trends and patterns
Experience influencing stakeholders and aligning teams to resolutions
Strong project management skills
Familiarity with digital solutions in wealth management