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Sr. Market Supervision Manager / VP Client Relationship Manager

Company: My Headhunter LLC
Location: New York
Posted on: November 26, 2022

Job Description:

Market Supervision Manager / VP Base Salary 125-150K+ Bonus + Commission + Full Benefits (Medical, Rx, Dental, Disability, Life Insurance, Flexible Spending Accounts, Retirement Savings Plans with Company Match/Contributions, Education Assistance, Bonus Plan Eligibility, Parental Leave)The Market Supervision Manager (MSM) reports to the Division Supervision Executive (DSE) with dual reporting to the Wealth Management Market Executive (ME). The MSM is a member of the Market Leadership Team, along with the Client Relationship Manager. The MSM supports the Firm's business objectives and contributes to the Market's profitability by influencing Financial Advisors (FA) business practices in ways that minimize regulatory and financial risk as well as uphold the Firms' reputation. Ultimately, the MSM protects the Firm, grows the business and serves the client by proactively managing and mitigating risk.The Market Supervision Manager is responsible for a wide variety of delegated compliance, administrative and business functions related to the Wealth Management Market Executive's overall managerial responsibilities for parent and associate offices. He or she functions independently, or with minimal guidance, but must keep the Market Executive informed on significant matters and must determine when the Market Executive should be directly involved. The Market Supervision Manager supports the company's business objectives and contributes to market profitability by influencing Financial Advisor business practices in ways that minimize regulatory, financial and reputational risks. Required Skills: " MUST " have these skills to be minimally qualified. The ideal candidate is a self-motivated, client centric individual who has: Series 7, 66, 9, 10 (or equivalent) Licenses required Series 3, 31 licenses, if warranted Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management concepts, and financial services products Ability to speak in terms of client needs and concerns, and coach Financial Advisors on aligning solutions to goals in a suitable and controlled way A deep appreciation and understanding of our client centric strategy Strong interpersonal skills to provide coaching to Financial Advisors to mitigate risk through segmentation, disciplined investment practices, and documentation Strong analytical skills with ability to identify trends, root cause and effects, and implement improved processes to mitigate risk Demonstrated strong and effective leadership style through clear communication and collaboration with others, making sound decisions with courage and conviction Strong time management and organization skills with the ability to prioritize appropriately Desired Skills: Bachelor's degree or equivalent work experience MUST HAVE Series 7, 66, 9, 10 (or equivalent) Licenses required Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management concepts, and financial services products Ability to speak in terms of client needs and concerns, and coach Financial Advisors on aligning solutions to goals in a suitable and controlled way A deep appreciation and understanding of our client centric strategy Strong interpersonal skills to provide coaching to Financial Advisors to mitigate risk through segmentation, disciplined investment practices, and documentation Strong analytical skills with ability to identify trends, root cause and effects, and implement improved processes to mitigate risk Demonstrated strong and effective leadership style through clear communication and collaboration with others, making sound decisions with courage and conviction Strong time management and organization skills with the ability to prioritize appropriatelyPREFERRED Series 3, 31 licenses, if warranted Bachelor's degreeJob Type: Full-timePay: $125,000.00 - $150,000.00 per yearBenefits: 401(k) 401(k) matching Dental insurance Employee assistance program Flexible schedule Flexible spending account Health insurance Life insurance Paid time off Parental leave Tuition reimbursement Vision insuranceSchedule: 8 hour shift Monday to FridaySupplemental pay types: Bonus pay Commission payAbility to commute/relocate: New York, NY: Reliably commute or planning to relocate before starting work (Required)Application Question(s): What is your email address? (Needed so we can send job full job description, if selected)License/Certification: Series 7 (Preferred) Series 66 (Preferred) Series 63 (Preferred) Series 65 (Preferred) Series 8 (Preferred) Series 9 (Preferred) Series 10 (Preferred) Series 3 (Preferred) Series 31 (Preferred)Work Location: One location

Keywords: My Headhunter LLC, New York , Sr. Market Supervision Manager / VP Client Relationship Manager, Executive , New York, New York

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