Are you ready to make an impact in the world of brokerage supervision? Join us as a Supervisory Team Manager and help drive operational excellence, risk management, and process improvement. You’ll lead a talented team, resolve high-risk escalations, and collaborate with field and executive stakeholders. This is your opportunity to shape supervisory practices, develop employees, and influence business outcomes. Be part of a team where your leadership and expertise are valued.

As a Brokerage Supervisory Team Manager in Central Supervision, you will manage a team of Registered Principals responsible for reviewing and determining suitability for a variety of brokerage and managed account transactions. You will lead us in handling complex escalations, partnering with field personnel, and driving process improvements. Together, we will foster a collaborative, high-performing team environment and deliver exceptional supervisory oversight.

Job Responsibilities:

Manage a team of Registered Principals reviewing suitability for brokerage and managed account transactions Lead workflow and volumes with urgency and efficiency Escalate supervisory issues and provide actionable recommendations Strategically partner with field Supervisory Managers to resolve exceptions Execute project work and additional tasks as assigned Conduct training for newly hired team members Identify and drive process improvements Influence and align stakeholders to final resolutions Recruit, hire, develop, and coach employees Articulate supervisory findings and align stakeholders Manage complex, high-risk escalations from end-to-end

Required Qualifications, Capabilities, and Skills:

Minimum 7 years of experience in the securities and investment industry Ability to work independently and make sound, risk-based decisions Strong research, analytical, and problem-solving skills Ability to analyze trends and implement improvements Effective collaboration across multiple levels of supervision Excellent interpersonal, verbal, and written communication skills Strong organizational skills and attention to detail Proficiency in Microsoft Office and strong computer skills Proven ability to thrive in a dynamic, evolving team environment Strong time management and ability to meet deadlines Active and valid FINRA Series 7 and one or more of the following: Series 66 (63,65), 9/10 (4,24,53), State Life & Health Insurance license (must obtain within 120 days if not already held)

Preferred Qualifications, Capabilities, and Skills:

Management experience Advanced knowledge of securities industry rules, regulations, and guidelines Significant and equivalent experience in a directly related securities industry position (may substitute for bachelor’s degree)