- Oversee the day-to-day administrative functioning of branch offices within the Market
- Provide supervisory oversight of Registered and Unregistered Associates assigned to the Market
- Partner with Market Leadership Management, Operations, Risk, Compliance, and Sales Teams to meet firm and regulatory requirements
- Recruit, train, and manage assigned direct-report personnel
- Ensure completion of daily, weekly, monthly, and quarterly supervisory reviews and tasks across one or more Markets
- Report findings for review, escalation, and final resolution
- Act as a liaison for home-office escalations, inquiries, and initiatives
- Serve as a liaison and escalation point for support areas
- Explain policies and procedures to branch employees and ensure adherence
- Provide proactive monitoring, governance, risk identification, escalation, and sound risk decisions within applicable risk and compliance programs
Requirements
- 5+ years of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through work experience, training, military experience, or education
- 2+ years of leadership experience
- Successfully completed FINRA Series 7, 9/10, and 63, or FINRA-recognized equivalents, sufficient for immediate FINRA registration
- Series 9/10 are the only principal licenses required; Series 24 is not required
- Strong client service skills
- Strong attention to detail and accuracy skills
- Effective organizational, multitasking, and prioritizing skills
- Strong verbal, written, and interpersonal communication skills
- Ability to provide leadership to a financial services team
- Ability to process complex transactions and perform extensive research to resolve complex customer issues
- Ability to travel up to 25% of the time
- Must obtain and/or maintain appropriate FINRA licenses for ongoing employment
- Must comply with state law registration and licensing requirements
- Must meet enhanced financial fitness and criminal background standards
- Must successfully complete and pass a background check prior to hire
- Must meet ongoing regulatory obligations, including periodic screening and mandatory reporting
- Must be eligible to work in the United States; this position is not eligible for visa sponsorship
Core Competencies
Demonstrates strong leadership and supervisory skills in financial services, with a focus on risk management, compliance, and client service. Proficient in overseeing branch operations and ensuring adherence to regulatory requirements while managing personnel effectively.
Highest-signal resume keywords
- Supervisory Control
- Risk Management Consulting
- FINRA Series 7, 9/10, and 63
- Client Service Skills
- Leadership Experience
ATS Optimization Keywords
Hard Skills
- Risk Identification
- Regulatory Compliance
- Supervisory Reviews
- Complex Transaction Processing
- Multitasking
- Organizational Skills
- Attention to Detail
- Problem Resolution
Soft Skills
- Verbal Communication
- Written Communication
- Interpersonal Skills
Certifications & Qualifications
- FINRA Series 7
- FINRA Series 9/10
- FINRA Series 63
Industry Keywords
- Financial Services
- Insurance Brokerage
- Property Insurance
- Casualty Insurance
- Regulatory Obligations