Supervision Manager Job Description

Supervision Manager Job Description

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Supervision manager provides advice and counsel to business lines and compliance functions on sanctions regulatory requirements and associated policies and standards.

Supervision Manager Duties & Responsibilities

To write an effective supervision manager job description, begin by listing detailed duties, responsibilities and expectations. We have included supervision manager job description templates that you can modify and use.

Sample responsibilities for this position include:

Use existing review form to complete semi-annual audits of eachindividual FSA/BFA location, ensuring compliance with all policies, procedures,settings and circumstances
Identify opportunities to simplify and improve the quality, content and format of initiatives
Supervision of product lines supported by the REITs, Alternatives and Discretionary Platform Supervision Team
Roadmap definition
Training & Communication
Book Of Work maintenance
Support of Contract Negotiation for new outsourced platform
Stakeholder management during service transition
Stakeholder management around demands on legacy platform
Stakeholder Management around department of ECC Surveillance tooling

Supervision Manager Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Supervision Manager

List any licenses or certifications required by the position: ITIL, BCP

Education for Supervision Manager

Typically a job would require a certain level of education.

Employers hiring for the supervision manager job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Collage Degree in Finance, Business, Manufacturing, Management, Economics, Leadership, Accounting, Business/Administration, Engineering, Supervision

Skills for Supervision Manager

Desired skills for supervision manager include:

CSU operations and business process
Capital markets and managed products
FINRA
Supervisory systems
Ameriprise brand standards and regulatory policies
FINRA and other regulatory bodies’ rules relevant to the applicable product lines
SEC and other regulatory bodies’ rules relevant to the applicable product lines
CSU operations and business processes
Client suitability
Compliance and supervision business functions

Desired experience for supervision manager includes:

Involvement in regulatory requests
Series 24, Series 63/65 or 66, Series 4/53 or 9/10 (or ability to obtain in 90 days)
Ensure Successful onboarding of users into datamider platform within the AMRS
Development of ongoing Service Governance model for outsourced contract
Support of Dodd Frank 2015 / 2016 program
Support of information governance framework development with Records Management

Supervision Manager Examples

1

Supervision Manager Job Description

Job Description Example
Our company is looking for a supervision manager. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for supervision manager
  • Work with business and other key stakeholders to relook at existing controls
  • Develop and produce programme reporting and tracking documentation, including multiple work streams and projects across lines of business
  • Become the ‘go-to’ person for all initiatives being worked on and successfully deliver on own projects from day 1
  • Leadership for team of corporate Registered Principals providing direct supervision for advisors' sales practices
  • Developing and tracking key metrics and business drivers, and providing decision support for leaders
  • Serving as subject matter expert providing leadership and support across the CSU and the broader enterprise
  • Communicating with advisors, field leaders and field oversight regarding results of supervisory activity, including one-on-one training
  • Communicating with clients regarding activity to determine suitability
  • Direct supervision of advisory services to determine suitability of service and recommendations, adherence to ADVs and assessment of fees charged
  • Selection of appropriate targeted client advisory relationships including analysis of all advisory relationships within an advisor's practice to determine those presenting the most risk to our clients and firm
Qualifications for supervision manager
  • Strong understanding of the transaction lifecycle and risk and control concepts, along with an appreciation for the current global regulatory environment
  • Ability to quickly grasp concepts and identify key points of existing control processes
  • Excellent communication skills, comfortable with facing off to Business Heads and senior figures across various CIB functional areas (Legal, Compliance)
  • At least 7 years financial services industry experience with proven success in supervision, compliance or product functions
  • Experience working with advisors and an in-depth understanding of advisor business practices and field structure
  • Ability to anticipate needs of sr
2

Supervision Manager Job Description

Job Description Example
Our company is looking to fill the role of supervision manager. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for supervision manager
  • Communicate with clients, when needed, regarding activity to determine suitability
  • Serve as subject matter expert providing information and/or research to business partners including compliance cases
  • Partner with Marketing and Sales to create go-to-market plans, sales initiatives, and drive revenue in face-to-face meetings with enterprise buyers
  • Conduct in-depth sales practice reviews surrounding products such as general securities, options, annuities, insurance, and managed accounts
  • Responsible for handling case referrals from Complaints and Investigations, Field Office Inspections, and Surveillance
  • Supervision of alternative investments, including non-traded Real Estate Investment Trusts (REITs) and Business Development Companies (BDCs)
  • Interfaces with specific business platform sales management associates to inform them of any supervisory concerns that may arise with branch offices and work together with them to address these concerns to resolve any conflicts that may arise to the client accounts of branch managers
  • Conduct review of daily trade activity via the on-line trade blotter (ProSurv or other required systems) for sales activities in certain products
  • Develop a system and implement oversight of all trade activity reviews performed by the Supervisory Analysts
  • Perform monthly account reviews in connection with certain products
Qualifications for supervision manager
  • Bachelor’s degree or equivalent employment
  • Demonstrated ability to lead cross-organizational projects and initiatives
  • Proven ability to recognize and capitalize upon opportunities to improve business results, including client and advisor experience
  • In depth knowledge of key regulations relating to direct investments and complex products, along with corresponding risk profiles
  • Familiarity with advanced trading strategies and derivatives, high net worth clients
  • Strong working knowledge & experience with regulatory rules
3

Supervision Manager Job Description

Job Description Example
Our innovative and growing company is hiring for a supervision manager. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for supervision manager
  • Work with Supervisory Solutions manager to monitor trends, gaps, areas of concern related to the products/activities being monitored
  • Work closely with Head, BSG
  • Maintain an appropriate level of expertise on the products and related policies being supervised
  • Use existing review form to complete semi-annual audits of each individual FSA/BFA/SRM location, ensuring compliance with all policies, procedures, settings and circumstances
  • Perform administrative duties to support the business, time & attendance, self-audits, absence reviews, regulatory training records
  • Review, and analyze TIC data submitted by multiple data providers to ensure it meets expectations and requirements
  • Provides direct leadership of Centralized Supervision Unit \(CSU\) Trending and Heightened Supervision registered principals \(T&HS RPs\), who are responsible for reviewing advisor business practices and executing day-to-day supervision of advisors on formal heightened supervision plans
  • Provide coaching, development, and performance management to direct reports
  • Collaborate and drive consistency with field leaders on consequence management decisions
  • Act as subject matter expert and provide resolution on escalated supervisory issues, including ability to drive consensus with business partners at all levels of the organization
Qualifications for supervision manager
  • Industry designation(s) such as CFP, ChFC or CLU
  • Bachelor’s degree or equivalentt and relevant work experience
  • Series 7 plus Series 24
  • OR Series 7 plus Series 9/10
  • Series 7, 63, 24 (or equivalent 8, 9/10 acceptable with passing of 24 within 90 days of hire) and 65 or 66, required
  • Insurance licensed
4

Supervision Manager Job Description

Job Description Example
Our company is growing rapidly and is hiring for a supervision manager. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for supervision manager
  • Collaborate with colleagues within the Business, S&C other technical groups across the Firm in the design and implementation of solutions to meet project goals
  • Build relationships with office managers/supervisors and representatives
  • Provide direct supervision of Life licensed agents assigned to Insurance Field Offices (IFO)
  • Conduct investigations to address sales practice violations and customer complaints
  • Actively learn from industry best practice to build the capability of the team in risk based audits and continuous improvement processes
  • Foster strong and collaborative relationships with key stakeholder groups, both internal and external to the business
  • Actively promote, identify and lead process improvement initiatives to continuously improve the monitoring and supervision framework
  • Liaise and coordinate with the Employer for all the project aspects
  • Lead, manage and oversee programmes/ budgets/contractors, administration of contracts, development and implementation of Project Execution Plans
  • Monitor/oversee change management procedures/ protocols and claims analysis
Qualifications for supervision manager
  • Minimum 7-10 yrs broker dealer/regulatory experience
  • Versatility, flexibility, and a willingness to work within a constantly changing structure
  • Thorough knowledge of Financial Services industry products and compliance
  • The ability to travel as needed within the region
  • Series 4 and 51/53, or 9/10 required (or ability to obtain within 90 days) • Series 66/IAR required (or ability to obtain within 90 days) to obtain within 90 days) • Series 66/IAR required (or ability to obtain within 90 days)
  • Series 7,Series 24, Series 4/53 or Series 9/10, State Securities (S63 or S66), State IAR (S65 or S66)
5

Supervision Manager Job Description

Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of supervision manager. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for supervision manager
  • Be a hands-on project manager with experience in managing a team of professionals and working closely with clients to ensure the success of any project/task undertaken
  • Monitor the day to day activities
  • Has technical capabilities and has worked earlier as Snr
  • Supervision of structured products business line
  • Perform suitability reviews of client transactions in structured products
  • Serve as subject matter expert on structured product offerings and supervisory guidelines to a range of business partners, including CSU staff and employees in WMS Products, Service Delivery, Legal and Compliance
  • Communicate with advisors and field leaders regarding results of supervisory activity
  • Deliver one-on-one training and education to advisors
  • Receive case referrals from Complaints and Investigations, Field Office Inspections, and Surveillance
  • Review qualified plan rollovers to ensure compliance with the DOL Fiduciary Rule
Qualifications for supervision manager
  • Strong knowledge or desire to learn about the features and benefits of annuity and insurance products and complex sales strategies
  • Series 7 plus Series 24, or plus Series 9/10
  • Strong ability to influence positive advisor behavior through coaching and education utilizing a supportive and consistent approach
  • Knowledge of Centralized Supervision Unit operations and business processes preferred
  • Work with product lines and control functions to establish an appropriate and effective risk management framework that mitigates non-financial risk and demonstrates compliance with applicable laws, rules and regulations
  • Implement material regulatory matters including, but not limited to, MiFID II, MAD II, FATCA and the German Bank Separation Act

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