FINRA Series 65 Licensed Supervision Manager

Job Summary

A company is looking for a Supervision Manager in Financial Services.

Key Responsibilities

• Provide supervisory oversight of investment advisory activities to ensure a high-quality client experience
• Conduct periodic reviews of advisory activity and collaborate with Compliance and Operations to address findings
• Support the growth of the financial services business by enhancing supervisory practices and identifying opportunities for improvement

Required Qualifications

• 5+ years of experience in supervision or compliance within an investment advisory or financial services environment
• Strong understanding of investment advisory supervision and regulatory expectations
• FINRA Series 65 or 66 registration required
• Ability to manage competing priorities effectively
• Experience with supervisory programs and controls is preferred