Senior Sales Supervision Manager

At Northland our employees are the heart of our storyand were committed to their success! Please see below the details of this career opportunity and how it fits into our organizations success.

The Senior Sales Supervision Manager is a key leader within the Retail Wealth Management (RWM) and Institutional Fixed Income (IFI) departments. This role is responsible for overseeing the supervisory functions of the sales teams ensuring that all activities comply with regulatory requirements firm policies and industry best practices. The position leads and develops a team of Supervisory Principals and sales support professionals providing strategic direction mentorship performance management and operational addition the role serves as a trusted partner to business leadership helping drive a culture of compliance risk management operational excellence and business performance across the organization.

About This Role:

Supervision & Compliance:

• Oversee all sales activities within RWM and IFI to ensure compliance with FINRA SEC and firm regulations.
• Monitor adherence to internal policies procedures and supervisory controls.
• Conduct reviews and approvals of client communications account documentation and trade activity as required.
• Identify and escalate potential compliance risks or regulatory issues.

Leadership & Team Support:

• Manage a team of supervisory principals and support staff.
• Provide guidance coaching and development to Sales Operations and Sales Support teams to enhance their effectiveness and understanding of supervisory responsibilities.
• Serve as a primary point of contact for complex sales and supervisory questions.
• Collaborate with other senior leaders to establish departmental risk mitigation standards goals and performance metrics.

Strategic Guidance:

• Support business initiatives by aligning supervisory oversight with departmental objectives.
• Recommend process improvements and operational enhancements to ensure efficiency and regulatory compliance.
• Partner with Compliance Operations and Leadership to implement new procedures training programs and controls.

Reporting & Documentation:

• Maintain accurate records of supervisory reviews escalations and resolutions.
• Prepare reports for management and regulatory review as needed.

Audit & Regulatory Examination Readiness:

• Work with the Compliance department on internal and external audits ensuring all supervisory and operational procedures are up to date and properly documented.
• Participate in FINRA SEC and other regulatory examinations as a subject matter expert for sales supervision activities.
• Coordinate with Compliance Operations and Legal teams to respond to regulatory inquiries and ensure timely resolution of findings.

The Ideal Candidate for This Role:

Minimum Qualifications:

In-depth knowledge of regulatory requirements and compliance best practices.

• Analytical mindset with the ability to assess risks and make informed decisions.
• Strong organizational and multitasking abilities.

• Excellent communication and interpersonal skills.
• High attention to detail and accuracy.

Required:

• Experience: 10 years of experience in a supervisory or compliance role within the financial services industry. Retail and fixed income experience preferred.
• Licensing: Active FINFRA Series SIEand 6.

Desired:

• Education: Bachelors degree in finance business economics or a related field preferred

Candidates must possess unrestricted work authorization and not require future sponsorship.

Compensation:

Compensation range (base pay): $91691.00-$155874.00

This role may have a specific starting pay within this range.

Final compensation offer to candidate may vary from posted hiring range based upon work experience education and/or skill level.

Work Environment:

It is anticipated that the incumbent in this role will work onsite at the posted location. Our onsite environment fosters innovation mentorship and a vibrant culture where ideas flow freely and relationships flourish. As part of our team youll experience the energy of our collaborative spaces designed to support your professional growth while working alongside talented colleagues who inspire excellence daily. Please note that work location is subject to change based on business needs.

Benefits Overview:

We offer a variety of benefits designed to keep you and your family physically and financially healthy. Not only do we offer a competitive salary and work-life balance we offer benefits to match your needs:

• Medical Dental Vision Insurance

• 401k With Matching Contributions

• Time Off Programs

• Health Savings Account (HSA)/Dependent Care

• Employee Banking

• Growth Opportunities

• Tuition Assistance

• Short-Term/Long-Term Disability Insurance

Learn more about our benefits here: additional information regarding compensation and benefits e-mail First National at . To ensure you receive a response include the number of this job (listed below) in the subject line of your message.

Job number: R-

Registration Requirement:

This position requires Financial Industry Regulatory Authority (FINRA) registration. Qualification requirements include meeting applicable financial industry responsibility regulatory requirements credit fitness and criminal background standards. Successful candidates must meet ongoing regulatory requirements including acceptable background investigation credit report and fingerprinting results.

Equal Opportunity & Belonging:

We believe that the quality of our employee experience is at the heart of our customer experience. One key pillar of our intended employee experience is Belonging. Belonging means we are committed to fostering a workplace culture where employees of all backgrounds feel valued recognized and empowered to be their authentic selvesno matter their role or where they are in their journey.

Learn more here.

Northland is an equal opportunity employer for all employees and applicants and makes employment decisions without regard to status or identity.

Click here to download EEO is The Law Self-Print Poster

Click here to download EEO is The Law Supplement for Federal Contractors

Click here to download EEO is The Law GINA Supplement

Northland is an Equal Opportunity/Affirmative Action/Veterans/Disability Employer - Member FDIC

Northland follows federal law regarding the use of marijuana (this applies to all non-California applicants)

Application Deadline:

All our jobs will be posted for a minimum of 5 calendar days. Job postings may come down prior to 5 calendar days based on volume of applicants.