Investment Advisory Team Leader

Job Summary

A company is looking for a Team Leader in Field Supervision - Investment Advisory.

Key Responsibilities

• Lead and develop a team of Field Supervision Directors to ensure effective advisory supervision
• Utilize knowledge of advisory program requirements and regulatory expectations to guide complex decisions
• Drive strategic initiatives to enhance advisory risk oversight and improve supervisory readiness

Required Qualifications

• Series 7 & 66 (or equivalent) required, with Series 7 held for a minimum of 2 years
• Series 9 & 10 (or equivalent), 24, and insurance license required or must be obtained within 4 months of hire
• Extensive knowledge of securities products, industry regulations, and supervisory systems
• Leadership experience and strong analytical skills are necessary
• Bachelor's degree or equivalent industry experience preferred; graduate degree or additional certifications are a plus