Manager, Supervision
HybridDallas, Texas, United States
Job Summary
Lead, coach, and develop a team of field-facing OSJ Supervisors responsible for a broad range of supervisory activities including outside business activities, private securities transactions, correspondence review, complaint triage, and trade reviews. Oversee team workloads, priorities, and performance to ensure high-quality execution while managing multiple concurrent projects and initiatives. Serve as the primary lead for strategic supervision initiatives and process improvements, partnering with senior leadership to drive collaboration and effective risk management. Facilitate discussions regarding supervisory matters, escalations, and business initiatives to foster consistency across the organization. Requires a Bachelor's degree, 5-10 years of industry experience, and broker dealer supervision expertise.
Required Qualifications
- Bachelor's degree or equivalent work experience
- 5-10 years Industry experience
- Previous leadership experience
- Broker Dealer supervision experience
- Series 7
- Series 24
- Series 66 (52/53 & 4 preferred)
- Attention to detail
- Ability to create and teach new and existing processes
- Ability to foster a collaborative work environment
- Demonstrated leadership experience managing teams in a supervisory, compliance, risk management, or regulatory environment
- Strong project management skills with the ability to prioritize multiple competing demands
- Excellent communication, relationship management, and influencing skills
- Proven ability to collaborate effectively at all levels of an organization, including senior leadership
- Strong analytical and problem-solving capabilities with a focus on risk identification and resolution
- Ability to lead through change and drive continuous process improvement
Desired Qualifications
- Proficient in Microsoft Excel/Power point
- Ability to present in front of small and large groups
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