RIA Sales Supervision Manager

A company is looking for a Manager, RIA Sales Supervision to oversee the RIA Supervision Team and ensure compliance with regulatory requirements. Key Responsibilities Lead and develop a team of Supervision Principals for monitoring RIA and B/D activities Evaluate and enhance supervision tools and technology for improved efficiency Prepare and deliver reports to senior compliance leadership regarding key metrics and findings Required Qualifications Bachelor's degree in finance, accounting, business, or a related field 4-7 years of experience in investment adviser compliance or supervision Previous management or leadership experience Strong understanding of RIA regulations and fiduciary responsibilities FINRA series 7 and 24 licenses required

May 19, 2025 - 21:50

A company is looking for a Manager, RIA Sales Supervision to oversee the RIA Supervision Team and ensure compliance with regulatory requirements. Key Responsibilities Lead and develop a team of Supervision Principals for monitoring RIA and B/D activities Evaluate and enhance supervision tools and technology for improved efficiency Prepare and deliver reports to senior compliance leadership regarding key metrics and findings Required Qualifications Bachelor's degree in finance, accounting, business, or a related field 4-7 years of experience in investment adviser compliance or supervision Previous management or leadership experience Strong understanding of RIA regulations and fiduciary responsibilities FINRA series 7 and 24 licenses required