Complex Supervisory Manager - Garden City, NY
$93,000–$121,000 year
On-site · Garden City, New York, United States
Job Summary
Senior-level Complex Supervisory Manager role in Garden City, NY, partnering with the Complex Director to oversee branch operational, supervisory, and compliance functions across three branches. Responsible for maintaining regulatory compliance, risk awareness, and adherence to firm initiatives; supports annual attestations, training, branch inspections, and coordination of complex transactions and approvals. Coordinates with Financial Advisors and staff to promote compliance culture, reviews exception reports and operational alerts, and oversees cash handling, account transfers, and regulatory documentation while guiding training and mentoring of staff. Must bring strong communication, client service skills, proficiency with Word/Excel/PowerPoint/Outlook/Salesforce/Thompson One, and Series 7, 63, 65 or 66 (9 and 10 to be obtained upon hire). High ethical standards, strategic thinking, attention to detail, and ability to work in a fast-paced environment are essential.
Required Qualifications
- Series 7, 63 and 65, or 66
- 9 and 10 would need to be obtained immediately upon hire
- High School diploma or equivalent; bachelor’s degree preferred but not required
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