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.