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Regional Supervision Manager, Woodbury Financial

Advisor Group locationMinneapolis, MN
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55 positions
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55 positions
info linkReport a probelm Originally Posted : November 24, 2021 | Expires : December 24, 2021

Details

Salary
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Job Location
Minneapolis, MN, United States

Description

Field Supervision Opportunity in Financial Services

Regional Supervision Manager - Woodbury Financial

Preferred Locations: 7755 Third Street North, Oakdale, MN 55128

Qualified candidates in all locations and remote encouraged to apply.

Summary:

The Regional Supervision Manager (RSM) is responsible for the review of Brokerage, Advisory and Directly-held transactions as presented within the back-office systems; ensuring those transactions are in the client's best interest, based on stated firm policies and procedures. The Regional Supervision Manager will also assist in the review of Financial Professionals requests for approval of Outside Business Activities and completion of annual firm requirements such as the Annual Compliance Meeting, Annual Compliance Questionnaire and Firm Element requirements.

The Regional Supervision Manager will have a specific regional territory responsible for developing and maintaining relationships with the Financial Professionals within the region. The RSM will help coordinate efforts between other home office staff members to ensure business is processed in accordance with the firm's policies and procedures to protect the client, the firm and the Field Supervisor.

Responsibilities:

  • Provides support to the regional supervision team by assuming delegated first line supervisor responsibilities and providing other supervisory assistance as required.
  • Conducts transaction and account suitability review for all transactions for direct reports.
  • Ensures proper business and sales practices are followed by the daily review of queue management reports.
  • Monitors reports and enforces internal controls to ensure compliance with industry standards and the firm's policies and procedures.
  • Collaborates with Regional Supervision Team.
  • Maintains ongoing positive relationship, acting as a guide and resource to all ME/MFA/MBO/OSJ Managers and support staff in collaboration with the SRVP, RSD, Business Development and Compliance while ensuring understanding and compliance with all firm and industry requirements by proactively communicating the firm's policies and procedures.
  • Supports the development and training of newly affiliated Financial Professionals, delegates, and staff with regards to broker dealer policies and procedures.
  • Functions as the home office liaison and primary contact for Financial Professionals.
  • Works directly with Financial Professionals to address concerns and to educate on firm policy and procedures.
  • Identify and assess risk based on findings deemed to be in violation of the department's current guidelines and takes appropriate corrective action as needed in collaboration with the SRVP, RSD and Compliance.
  • Works on delegated and collaborative projects with the SRVP, RSD, Customer Service, Legal, Compliance, and upper management to include the tracking of said projects to ensure completeness (i.e. Outside Business Activity Questionnaire, Annual Compliance Meetings, Firm Element Continuing Education, Annual Representative Renewals, etc.).
  • All other duties as assigned

Education Requirements:

  • Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Basic Requirements:

  • At least three years related experience conducting suitability/best interest review of transactions or relevant industry experience understanding current product and procedures
  • FINRA Series 7 and 24 required
  • FINRA Series 66 (or 63 / 65) required (may be obtained within 6 months of hire)
  • Understanding of relevant FINRA and SEC rules and regulations concerning transaction suitability/best interest.
  • Ability to effectively handle and prioritize multiple tasks in a fast-paced team environment to meet defined deadlines.
  • Ability to work in a time-sensitive environment.
  • Excellent analytical and problem-solving skills.

Preferred Requirements:

  • FINRA Series 4 and/or 53 preferred

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