Sales Supervision Manager - Centralized Supervision Unit
Core
Review advisor-created marketing materials (ads, videos, websites, social media) and provide feedback/coaching to ensure compliance with regulatory standards.
Role type
Sales Supervision Manager (Compliance Review)
Builds
Compliant marketing materials and retail communications for financial advisors
Domain
Financial Services / Wealth Management
Required skills
Risk-based judgement, regulatory analysis, coaching, process improvement, stakeholder communication, documentation, workload management
Preferred skills
Complex issue analysis, influencing behavior, strategic education
Technologies
N/A
Responsibilities
Approve or reject advisor marketing materials based on risk-based procedures, coach advisors on compliant content creation, represent the firm in regulatory examinations and investigations, maintain team health and development goals, collaborate on process efficiencies
Seniority
Mid-Senior, hands-on IC