Sales Supervisor

A growing financial services organization is seeking an experienced Sales Supervisor to oversee advisor sales activities, support regulatory compliance efforts, and partner with leadership to ensure a strong supervisory framework across the business. This role is ideal for a licensed professional with experience in branch office supervision, broker-dealer compliance, and advisor oversight who enjoys partnering with financial advisors while maintaining a strong focus on risk management and regulatory adherence. Responsibilities Provide day-to-day supervision and oversight of advisor and sales activities. Monitor business activity to ensure compliance with applicable regulations, internal policies, and supervisory procedures. Review and evaluate sales practices, transactions, and client activity utilizing various supervisory tools and reporting systems. Partner with compliance, legal, operations, and leadership teams to address supervisory matters and resolve escalated issues. Support advisors by providing guidance, resources, and direction related to regulatory requirements and firm policies. Identify opportunities to improve processes, strengthen controls, and increase operational efficiency. Assist with regulatory examinations, audits, and internal reviews. Maintain strong relationships across the organization while serving as a key resource on supervisory and compliance-related matters. Qualifications Bachelor's degree in Business, Finance, or a related field. Minimum 8 years of experience within financial services, including at least 4 years in a sales supervision, branch compliance, or supervisory role. Active FINRA Series 7 and Series 24 licenses required. Bilingual in English and Spanish. Strong knowledge of broker-dealer regulations, supervisory controls, sales practices, and compliance requirements. Experience overseeing advisor activities and ensuring adherence to regulatory and internal policy standards. Proven ability to partner effectively with compliance, legal, operations, and business leaders. Strong analytical, critical thinking, and problem-solving skills. Excellent organizational skills with the ability to manage multiple priorities and deadlines. High attention to detail and a commitment to accuracy. Strong interpersonal and relationship-building skills with the ability to influence and collaborate across teams. Proficiency with Microsoft Office applications and other business technology platforms. Self-starter who thrives in a fast-paced environment and can work independently with minimal supervision. Process improvement mindset with the ability to identify efficiencies and enhance operational effectiveness. If you have a strong background in financial services supervision and are looking to join a growing organization where you can make a meaningful impact, we'd like to hear from you. Apply today! #J-18808-Ljbffr