Senior Manager, RJFS Supervisory Solutions

📋 Description

• Lead, coach, mentor, and develop a team of Home Office Branch Managers, supporting their
• Oversee supervisory programs, procedures, resources, controls, and operating practices to promote
• Monitor supervisory activity, trends, alerts, and risk indicators to identify emerging concerns and
• Evaluate complex supervisory situations, applying regulatory knowledge, risk management principles
• Partner with Compliance, Division Supervision, Division Management, advisors, branch leaders, and
• Lead initiatives designed to improve the effectiveness, efficiency, and scalability of supervisory

🎯 Requirements

• Bachelor’s degree from a four-year college or university and at least 8 years of experience within
• An equivalent combination of education, experience, and training may also be considered.
• 3–6 years of managerial experience is preferred, including experience leading direct reports or
• Strong understanding of securities industry rules, regulations, and supervisory practices.
• Working knowledge of investment products, financial markets, advisory activities, and financial
• Required licenses: Series 7 and Series 9/10 or Series 24, plus Series 66 or Series 63/65.

🎁 Benefits

• Base salary range of $100,000–$125,000.
• Fully remote workstyle.
• Travel expected to be less than 25%.
• Comprehensive benefits package that may include medical, dental, and vision coverage.
• Life insurance, critical illness insurance, accident insurance, and disability benefits.
• Retirement savings benefits.