RIA Sales Supervision Manager

Job Summary

A company is looking for a Manager of RIA Sales Supervision.

Key Responsibilities

• Lead and develop a team of Supervision Principals for ongoing monitoring of RIA and B/D activities
• Evaluate and enhance supervision tools and technology to improve coverage and efficiency
• Prepare and deliver regular reports to senior compliance leadership regarding key metrics and findings

Required Qualifications

• Bachelor's degree in finance, accounting, business, or a related field, or equivalent experience
• 4-7 years of experience in investment adviser compliance, supervision, or surveillance
• Previous people management or leadership experience
• Strong understanding of RIA regulations and fiduciary responsibilities
• FINRA series 7 and 24 licenses are required