Regional Supervision Manager
Job Summary
Providing daily supervision of CWM partners, the full-time Regional Supervision Manager will ensure compliance with firm policies while maintaining relationships with partner offices and managing escalations in a remote environment.
Key responsibilities
- Build and maintain compliance relationships with partner offices through consistent communication and address compliance concerns
- Monitor partner office compliance with regulatory requirements and review electronic communications for escalated items of concern
- Manage the onboarding and training of new partners regarding compliance expectations and assist with supervisory reviews and documentation
Required qualifications
- Bachelor's degree in Business Administration, Finance, Economics, or a related field, or equivalent relevant work experience
- FINRA Series 7, 24, 66, or 63/65 required at the time of hiring or completion within a specified timeframe
- Minimum of five years of risk, compliance, and/or supervision experience at a financial services firm
- Strong knowledge of FINRA and SEC regulations, including the Investment Advisers Act and Regulation Best Interest
- Proficiency in employee compliance and electronic communication review systems, as well as Microsoft Office applications
Complete Job Description
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