Complex Supervisory Manager Garden City, NY

The Complex Supervisory Manager works closely with the Complex Director to ensure that all operational supervisory and compliance functions are promptly and accurately performed within the Complex of three branches. This role is responsible for helping maintain a strong culture of compliance operational integrity risk awareness and adherence to firm and regulatory requirements. The Complex Supervisory Manager serves as the primary liaison with the Complex Director as well as home office :Oversees branch operational supervisory and compliance functions in the compliance operational and risk-related issues to the appropriate supervisory or Home Office in a timely awareness of regulatory updates and assists in implementing new compliance procedures controls and firm initiatives within the completion of annual compliance requirements including attestations continuing education branch inspections and mandatory with Financial Advisors and support staff to promote a strong culture of compliance operational excellence and risk in monitoring and reviewing exception reports trade corrections and operational alerts to identify and mitigate potential cashiering disbursement of checks and securities processing incoming and outgoing correspondence account transfers margin distribution of wire traffic home office reports maintenance of order tickets client correspondence and other documents consistent with firm retention approval processes for New Accounts ACH Wire Transfers Journals Annuities Alternative Investments POAs brokerage documentation legal transfers stock options and other Marketing approvals and expenses for events and all resources required for complex (technology suppliers etc.).Assists in coordination and organization of branch events (including client educational/appreciation events; internal branch/complex celebrations i.e. holiday party).Helps educate reaffirm and communicate firm initiatives including goals positioning and messaging to the able to assist others by acting as a resource in the areas of training coaching and you bring: High School diploma bachelors degree preferred but not 7 63 and 65 or 66 ;9 and 10 would need to be obtained immediately upon strong communication and active listening skills and excellent client service in Word Excel PowerPoint Outlook Sales Force and Thompson OneAble to work effectively in a fast paced deadline-oriented high ethical and able to work effectively as part of a strong attention to detail and strong problem-solving to think strategically and execute adaptable and able to pivot in an ever-changing and evolving to build strong trusted relationships with all work for usBenefits: Janney believes that its employees are the key to what makes a great company. Although work makes up a large portion of an employees life we believe that a balance between work and non-work activities is essential to maintain quality performance and a positive work atmosphere. We offer a competitive package including Paid Parental Leave generous Paid Time Off eligibility for a $2000 referral bonus Employee Ownership and Professional Development Assistance Plan designed to help you make the most of your life at work and at hometoday and in the future. Explore is an award-winning full-service financial services firm committed to understanding our clients needs and providing advice beyond are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm. Fostering a positive workplace experience remains a top priority. People are our strongest asset. We recognize that when our team members thrive our firm is more compensation package for this position consists of a base salary (with eligibility for an annual bonus/commissions if applicable) as well as eligibility to participate in all company benefits offered by Janney to full-time employees including health dental medical coverage disability income protection life insurance PTO/vacation holidays and 401(k). The salary range for this position will be$93000 to $ compensation packages at Janney are based on experience skills credentials and geographical location of each specific candidate and can be $150K.