Supervisory Control Manager - FINRA license needed

About the job Supervisory Control Manager - Licensed
In this role, you will:
Manage and develop a team of analysts, principals, reviewers, supervisors and managers
Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations
Identify and recommend opportunities for coordinating proper staffing and coverage
Implement and monitor policies and procedures
Provide regular reporting to branches, regions and channels to ensure that the activity is in compliance with all regulatory and firm policies
Make decisions and resolve issues regarding compliance, supervision policies, practices, hiring and training
Monitor sales review activities, coordinate proper staff and coverage and develop and implement training plans within Wealth Brokerage Services to meet business objectives
Collaborate and consult with more experienced management
Meet regularly with risk and business partners as well as serve as a primary business contact on key initiatives with Wealth, Compliance, Risk, regional management and other home office departments
Manage allocation of people and financial resources for Supervisory Control
Mentor and guide talent development of direct reports and assist in hiring talent
Required Qualifications:
Experience in Supervisory Control. Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage, or equivalent demonstrated through one or a combination of the following: work experience, training, education
2+ years of leadership experience ( Managerial)
Desired Qualifications:
Minimum of 2-year experience leading teams preferably in brokerage operations
Strong stakeholder and communication skills
Experience in transformation and process improvement, strongly preferred
Active FINRA Series 7 license, required
Active FINRA Series 24 and/or Series 9/10, preferred
Job Expectations:
Willing to work US hours
Willing to work onsite (BGC office)