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Senior Sales Supervisor (1123-1)
This position is responsible for managing a small group of sales supervisors
and providing sales practice supervision for a defined group of assigned
Registered Representatives (RRs) in the areas of retail brokerage and
application-way broker dealer business focused on alternative investments,
with some involvement in investment advisory and insurance products as well.
Ensuring sales supervision team is equipped with the knowledge and
tools required to appropriately review transactions and supervise RR
business and activities.
Contribute to the development of a supervision platform that keeps
pace with the current regulatory environment relating to sales practices as
well as product-specific reviews.
Working with compliance, technology, department managers, and
operations in setting a control agenda, developing business requirements,
continual enhancement of the platform, escalating and resolving issues and
reporting issues to senior management.
Review and develop reports to convey the results of the supervision
For a subset of RRS, conduct supervision with a high degree of
integrity for the assigned set of RRs. This includes but is not limited to:
Manage, review and approve requests and transactions, including the
sale of alternative investments.
Supervision of new account documentation and review retail account
activity, including for AML purposes.
Review blotters and follow-up where necessary.
Review and follow-up on exception and trending reports.
Reviewing RR correspondence and emails.
Collaborate with outside consultants on RR branch office
Use strategic problem-solving skills and resourcefulness to
identify, address, document, and escalate when appropriate regulatory, firm
policy, member protection and supervisory issues.
Help RR and their staff adapt and integrate regulatory and
organizational requirements into the operations of their practices.
Build collaborative, value-added working relationships with RRs in
assigned geographic area. Act as a Trusted Advisor to our RRs and field
Partner with the Compliance department to satisfy regulatory
requirements and administer compliance program.
When deemed necessary, provide assistance to senior management,
compliance and legal concerning internal RR investigations, complaints,
regulatory and branch inspections and quality of RR candidates among other
Collaborate with corporate Compliance/Legal, management staff, and
others to assess the quality of each RRs overall sales practices.
Train new and veteran RRs on appropriate firm and regulatory sales
Other roles, responsibilities and accountabilities as Supervisor may
Ideal candidate holds FINRA series 7 (or Series 9/ Series 10), Series 24 and
Series 66 (or Series 65 and Series 63) licenses and undergraduate degree in
Business, Accounting, Finance or related discipline. Must be proficient in
the Microsoft Office Suite of products, including Excel and Word.
Experience with automated operations, compliance and document workflow
systems, such as RedTail, Albridge, Schwab Compliance Technologies and
Docupace, is a plus.
Ability to work independently in and adapt to a fast-paced/high-
volume, dynamic work environment and be flexible with work schedule.
Strong knowledge of FINRA, SEC and State rules and regulations.
Ability to use strategic problem-solving skills to recommend
improvements to compliance systems and strategies for effective supervision.
Ability to multi-task, strong attention to detail, excellent
problem-solving and follow-up skills.
Excellent technology, oral and written communication skills.
Ability to work independently, using resources to problem-solve
Must be organized and process-oriented.
Ability to independently make regulatory and supervisory-based
Proactive collaboration and service-based responses with business
partners on escalated issues and concerns is essential.
Excellent human-relations skills.
Solid work ethic and proven professionalism.
Asset Management // Broker Dealer