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)