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Regional Supervision Manager

Company: Advisor Group
Location: Buffalo Grove
Posted on: January 16, 2022

Job Description:

Field Supervision Opportunity in Financial Services
Regional Supervision Manager

Preferred Location: SagePoint Financial, 20 E. Thomas Road, Phoenix, AZ 85012
Accepting qualified 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:
Provides support to the regional supervision team by assuming delegated first line supervisor responsibilities and providing other supervisory assistance as required.
Conducts transaction and account suitability review for all transactions for direct reports.
Ensures proper business and sales practices are followed by the daily review of queue management reports.
Monitors reports and enforces internal controls to ensure compliance with industry standards and the firm's policies and procedures.
Collaborates with Regional Supervision Team.
Maintains ongoing positive relationship, acting as a guide and resource to all ME/MFA/MBO/OSJ Managers and support staff in collaboration with the SRVP, RSD, Business Development and Compliance while ensuring understanding and compliance with all firm and industry requirements by proactively communicating the firm's policies and procedures.
Supports the development and training of new OSJ Branch Managers, delegates, and staff with regards to broker dealer policies and procedures.
Functions as the home office liaison and primary contact for Advisors.
Works directly with advisors to address concerns and to educate on firm policy and procedures.
Identify and assess risk based on findings deemed to be in violation of the department's current guidelines and takes appropriate corrective action as needed in collaboration with the SRVP, RSD and Compliance.
Works on delegated and collaborative projects with the SRVP, RSD, Customer Service, Legal, Compliance, and upper management to include the tracking of said projects to ensure completeness (i.e. Outside Business Activity Questionnaire, Annual Compliance Meetings, Firm Element Continuing Education, Annual Representative Renewals, etc.).
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, 24 are required.
FINRA Series 4, 53, 66 (or 63 / 65) are required. (May be obtained within 90 days 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. Be A Part Of The Team Behind Our Success!
At Advisor Group, we support financial professionals across the nation, 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. Equal Opportunity Employer

Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.
Eligibility

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.
Unqualified Applications

Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.
Recruiting Agencies

Advisor Group only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.

Keywords: Advisor Group, Buffalo Grove , Regional Supervision Manager, Executive , Buffalo Grove, Illinois

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