Sales Supervisor

We are seeking a bilingual Sales Supervisor who wants to contribute beyond day-to-day oversight. This position offers direct collaboration with senior relationship management, compliance, and legal leaders, along with the opportunity to shape improvements in how advisors are supported.

Responsibilities

• Supervise daily sales activities to ensure compliance with regulatory requirements and firm policies and procedures.
• Monitor activity through supervisory tools and reports, identify concerns, and escalate issues to the appropriate management level.
• Provide advisors and brokers with guidance and access to the resources needed to operate within the firm.
• Work closely with senior relationship management to resolve client concerns and sales-related issues.
• Partner with compliance and legal teams on risk initiatives and supervisory matters.
• Identify opportunities to improve processes, strengthen controls, and increase operational efficiency.
• Build relationships across advisors, clients, and internal teams to support a coordinated approach to sales supervision.
• Serve as a primary contact for regulatory and audit findings affecting the sales function.

Qualifications

• Bachelor’s degree in business administration with a concentration in finance or a related field.
• At least eight years of related experience, including a minimum of four years in branch office compliance or sales supervision.
• Series 7 and Series 24 licenses required.
• Bilingual proficiency in English and Spanish required.
• Advanced proficiency with Microsoft platforms and software.
• Strong analytical judgment, attention to detail, and organizational skills.
• Ability to manage competing priorities, meet deadlines, and work independently.
• Strong communication and relationship-building skills, with a collaborative approach to resolving issues.

Build on your sales supervision experience in a role that combines advisor support, regulatory oversight, and process improvement. Apply today!