Supervisory Control Manager - Licensed
Supervisory Control Manager - Licensed
Employer Active
Job Alert
You will be updated with latest job alerts via email
Share
Job Alert
You will be updated with latest job alerts via email
Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
In this role you will:
- Manage and develop a team of analysts principals reviewers supervisors and managers
- Conduct ongoing monitoring to ensure conformity with internal policies applicable laws and regulations
- Identify and recommend opportunities for coordinating proper staffing and coverage
- Implement and monitor policies and procedures
- Provide regular reporting to branches regions and channels to ensure that the activity is in compliance with all regulatory and firm policies
- Make decisions and resolve issues regarding compliance supervision policies practices hiring and training
- Monitor sales review activities coordinate proper staff and coverage and develop and implement training plans within Wealth Brokerage Services to meet business objectives
- Collaborate and consult with more experienced management
- Meet regularly with risk and business partners as well as serve as a primary business contact on key initiatives with Wealth Compliance Risk regional management and other home office departments
- Manage allocation of people and financial resources for Supervisory Control
- Mentor and guide talent development of direct reports and assist in hiring talent
Required Qualifications:
- Experience in Supervisory Control. Risk Management Consulting Property or Casualty Insurance Insurance Brokerage or equivalent demonstrated through one or a combination of the following: work experience training education
- 2 years of leadership experience ( Managerial)
Desired Qualifications:
- Minimum of 2-year experience leading teams preferably in brokerage operations
- Strong stakeholder and communication skills
- Experience in transformation and process improvement strongly preferred
- Active FINRA Series 7 license required
- Active FINRA Series 24 and/or Series 9/10 preferred
Job Expectations:
- Willing to work US hours
- Willing to work onsite (BGC office)
Employment Type
Full Time
