Supervisor Principal - Broker Dealer

The Sales Supervisor has the overall responsibility for providing day to day supervision and guidance to the assigned Advisors and/or Brokers. Provides guidance and support to the sales process and resolves any issues with clients by working closely with Senior Relationship Management team. JOB RESPONSIBILITIES/MAIN FUNCTIONS Responsible for the day-to-day oversight of the sales process ensuring policies, practices and regulations are followed by the firm’s clients. Works closely with the firm’s internal resources on matters related to compliance, ensuring policies and procedures are followed. Monitors sales activities using various tools and reports ensuring that all activities are in compliance with established regulations and firm’s policies. Works with Senior Relationship Officers in the resolution of sales activities and escalates issues to the corresponding management level when appropriate. Ensures that the Advisors have the necessary resources to successfully operate within the firm. Partners with key internal resources with the objective of identifying process improvement areas and/or efficiencies. Partners with leaders in the compliance and legal departments on matters related to risk initiatives. Builds key relationships with the firm’s clients, department team members and other key stakeholders to ensure an integral approach to the sales function. Serves as the key point person on issues related to regulatory and audit results with impact in the short and long-term timeframe. JOB REQUIREMENTS Bachelor’s degree in business administration with a concentration in finance or related field. Minimum three (3) years of work-related experience; a minimum of two (2) of them in a branch office compliance or sales supervision function. Series 7 and Series 24 are required to perform the job function. Bilingual in English and Spanish. Advanced knowledge in MS platforms/software. DESIRED SKILLS Self-starter, driven and exceptional attention to detail. Excellent organizational skills with a proven ability to meet deadlines. Excellent critical thinking skills. Strong team building and collaborating abilities. Strong analytical and detailed oriented skills. High level of interpersonal skills, team player. Ability to leverage on technology. Ability to create efficiencies and self-starter. Comfortable in a fast pace and dynamic environment. Ability to work independently with minimal direct supervision. #J-18808-Ljbffr Insigneo