Senior Sales Supervision Manager
$91,691–$155,874 year
On-site · Minneapolis, Minnesota, United States
Job Summary
Senior Sales Supervision Manager leads a team of supervisory principals and sales support in Retail Wealth Management and Institutional Fixed Income, overseeing supervisory functions to ensure compliance with FINRA/SEC and firm policies. Responsibilities include supervising reviews and approvals of client communications, account documentation, and trade activity; identifying and escalating regulatory risks; coaching and developing Sales, Operations, and Sales Support teams; collaborating with Compliance, Operations, and Legal to implement procedures, training, and controls; maintaining records of reviews and resolutions; participating in regulatory examinations as a subject matter expert; and driving strategic risk-mitigation standards and performance metrics. The role requires deep regulatory knowledge, strong organizational and communication skills, and a track record of leadership in financial services. Desired licensing and education details, onsite work environment in Minneapolis, and a compensation range of $91,691 to $155,874 are noted in the posting.
Required Qualifications
- 10+ years of experience in a supervisory or compliance role within the financial services industry
- Active FINRA licensing: Series SIE, 7, 24, 66, 53, and 6
- Bachelor’s degree in finance, business, economics, or related field preferred
- Unrestricted work authorization and not require future sponsorship
Additional Requirements
- Must be eligible to work in the United States
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