Sales Supervision

Job Description

A growing financial services organization is seeking an experienced Supervisory Principal to play a key role in supporting and overseeing a sophisticated network of Financial Advisors. This is a highly visible position combining sales supervision, advisor partnership, risk management, and relationship management.

The Supervisory Principal will serve as a trusted resource to advisors-helping them navigate complex situations, resolve client and business issues, and operate successfully within the firm's regulatory framework.

Responsibilities

• Provide day-to-day supervision and guidance to Financial Advisors and registered representatives
• Partner closely with advisors on sales practices, complex transactions, client situations, and regulatory requirements
• Monitor sales activity and identify potential supervisory, compliance, or business risks
• Work alongside Relationship Management, Compliance, and Legal to resolve issues and support advisor needs
• Serve as a key resource for advisors, ensuring they have the tools, guidance, and support needed to successfully grow their businesses
• Build strong relationships with advisors and key stakeholders across the organization
• Identify opportunities to improve supervisory processes and create greater efficiencies
• Partner with senior leaders on risk and regulatory initiatives
• Support regulatory examinations and audits and help drive resolution of identified issues
• Escalate higher-risk or complex matters when appropriate while maintaining a practical, solutions-oriented approach

Qualifications

• Bachelor's degree in Finance, Business Administration, or related field preferred
• 5+ years of financial services experience
• Strong understanding of wealth management, brokerage operations, sales practices, and regulatory requirements
• Demonstrated ability to build credibility and strong relationships with Financial Advisors
• Strong judgment, communication, and problem-solving skills
• Bilingual Spanish and English is required
• FINRA Series 7 and Series 24 required

This is an excellent opportunity for an experienced supervisory professional who enjoys being close to the business and wants to work directly with Financial Advisors-not simply review activity from a compliance perspective