Job Description

The Role

As the Supervision Manager, you’ll be responsible for overseeing the supervisory framework of the Registered Investment Advisor (RIA) business and Fixed Insurance Business (FIB).This role will ensure adherence with SEC and state regulations while supporting advisors and brokers in delivering high-quality client service.This role leads supervision processes, monitors advisor and broker activity, and partners with Compliance and Operations to mitigate risk and strengthen supervisory practices.

The Responsibilities

Supervision & Oversight 

  • Oversee day-to-day supervisory activities for RIA advisors and licensed brokers 
  • Review and approve client accounts, investment recommendations, and advisory activities in accordance with firm policies and regulatory requirements
  • Escalate and resolve supervisory issues, exceptions, and potential compliance risks in a timely manner
  • Conduct advisor and broker oversight meeti...

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