Job Summary
A financial advisory firm is in need of a Remote Regional Supervision Manager in Phoenix.
Core Responsibilities Include:
- Providing support to regional supervision team by assuming delegated first line supervisor responsibilities
- Conducting transaction and account suitability review for all transactions for direct reports
- Ensuring proper business and sales practices are followed by the daily review of queue management reports
Applicants must meet the following qualifications:
- Bachelor’s degree preferred, high school diploma (or equivalent) in combination with experience will be considered in lieu of degree
- Minimum of high school diploma or equivalent is required
- Minimum 3 years of related experience conducting suitability review of transactions
- FINRA Series 7, 24 are required
- FINRA Series 4, 53, 66 (or 63 / 65) are required. (May be obtained within 90 days of hire)
