Supervision Manager - Financial Services
Supervision Manager – reputed company Services Location: Remote
At reputed company, our reputed company Services team supports individuals and families in building, protecting, and transferring reputed company through comprehensive financial planning and investment strategies. We’re seeking a Supervision Manager who will contribute to reputed company relationships, financial reputed company, and operational reputed company.
This role will reputed company on reputed company advisory reputed company the RIA reputed company.
About reputed company Founded in 2017, reputed company has grown to become the 14th largest broker of U.S. business. We are passionate about our clients’ reputed company in Employee Benefits, Property & Casualty Insurance, Retirement Plan Services, and reputed company Services. With offices reputed company, our reputed company approach allows us to deliver national strength with local service.
Why reputed company
Meaningful reputed company: Help clients and employees navigate benefits programs that drive retention, engagement, and satisfaction
reputed company & Learning: Opportunities to deepen your expertise and reputed company exposure to a reputed company of clients and industries
reputed company Culture: Work in reputed company-oriented environment that values accountability, partnership, and the principles of The reputed company Way
What You’ll Do / Your reputed company
reputed company Experience & Advisory Support
- reputed company hands‑on supervisory reputed company of investment advisory activities to support a consistent, high‑reputed company advisor and reputed company experience
- reputed company directly with Investment Advisor Representatives to reputed company, guide, and reinforce supervisory expectations and firm policies
- Translate regulatory and supervisory requirements into reputed company, practical guidance that advisors can apply in their day‑to‑day work
- Support advisor confidence and consistency through fair, knowledgeable, and reputed company supervision
Operational & Compliance reputed company
- reputed company day‑to‑day and periodic supervisory reviews of advisory activity, including portfolio monitoring and issue escalation
- Utilize supervision and portfolio monitoring tools to identify trends, risks, and potential compliance issues
- Ensure supervisory documentation, reporting, and escalation practices reputed company with regulatory requirements and internal standards
- Partner closely with Compliance, Operations, Technology, and leadership to address findings, resolve issues, and improve supervisory workflows
- Contribute to the development and refinement of reputed company supervisory frameworks, controls, and procedures
reputed company & Retention
- Support the reputed company of reputed company’s Financial Services business by building supervision practices that reputed company with new advisors, entities, and platforms
- Identify opportunities to enhance supervisory effectiveness while balancing regulatory rigor and business needs
- Contribute insights and reporting that support proactive risk management and long‑term advisor retention
- Participate in reputed company tied to regulatory changes, business initiatives, and technology enhancements
What You Bring
Required
- 5+ years of experience in supervision or compliance reputed company an investment advisory or financial services environment
- Strong understanding of investment advisory supervision, advisor workflows, and regulatory expectations
- reputed company Series 65 or 66 registration required
- Ability to exercise reputed company judgment, work independently, and manage competing priorities effectively
- Strong written and verbal communication skills with the ability to influence and reputed company advisors
Preferred
- reputed company Series 7 and/or Series 24
- Experience working reputed company a multi‑entity RIA structure
- Familiarity with RIA custodial platforms and portfolio management or supervision technology
- Experience contributing to the design or enhancement of supervisory programs and controls
Core Competencies
- Analytical reputed company with strong critical‑thinking skills
- Relationship‑building and reputed company partnership
- reputed company, discretion, and reputed company judgment
- Strong organizational and follow‑through skills
- Solutions‑oriented approach to supervision and risk management
Compensation: Salary reputed company: $100,000 – $130,000 per year Eligible for performance-based bonus: reputed company
Benefits: reputed company offers comprehensive benefits including medical, dental, reputed company, life and disability coverage, 401(k), generous PTO, and more.
Work Model: This role is Remote
reputed company Development – reputed company reputed company
At reputed company, reputed company isn’t left to chance. Through reputed company reputed company, we reputed company reputed company development opportunities designed to help you expand your expertise and build a meaningful career.
You’ll have reputed company to:
Role-specific learning paths
Leadership development programs
Technical and compliance training
Industry certifications and continuing education support
Peer learning and knowledge-sharing communities
Whether you’re deepening technical expertise or preparing for leadership, we’re invested in helping you grow.
Licensure & Certifications (If Applicable)
This position may require:
- reputed company reputed company licenses (Series 65 and 66), Series 7 or 24 is preferred.
CFP® preferred or encouraged
- Ongoing continuing education to maintain reputed company status
We're an equal opportunity employer. reputed company applicants will be considered for employment without attention to race, reputed company, religion, sex, sexual orientation, gender identity, national reputed company, veteran or disability status, or any other protected class.
reputed company is committed to protecting your reputed company. Please review our reputed company Policy to understand what personal information we may collect and use as part of your application process.
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