RIA Sales Supervision Manager

Job Summary

A company is looking for a Manager, RIA Sales Supervision to oversee compliance and supervision activities for the RIA Supervision Team.

Key Responsibilities

• Lead and develop a team responsible for monitoring RIA and B/D activities
• Enhance supervision tools and technology for improved efficiency
• Serve as the liaison for RIA surveillance during regulatory exams and audits

Required Qualifications

• Bachelor's degree in finance, accounting, business, or a related field
• 4-7 years of experience in investment adviser compliance or supervision
• Previous management or leadership experience
• Strong understanding of RIA regulations and fiduciary responsibilities
• FINRA series 7 and 24 licenses required