Job Description
Qualifications
Bachelor’s degree in business administration with a concentration in finance or related field
Minimum eight (8) years of work-related experience; a minimum of four (4) of them in a branch office compliance or sales supervision function
Series 7 and Series 24 are required to perform the job function
Bilingual in English and Spanish
Advanced knowledge in MS platforms/software
Responsibilities
The Sales Supervisor has the overall responsibility for providing day to day supervision and guidance to the assigned Advisors and/or Brokers
Provides guidance and support to the sales process and resolves any issues with clients by working closely with Senior Relationship Management team
Responsible for the day-to-day oversight of the sales process ensuring policies, practices and regulations are followed by the firm’s clients
Works closely with the firm’s internal resources on matters related to compliance, ensuring policies and procedures are followed
Monitors sales activities using various tools and reports ensuring that all activities are in compliance with established regulations and firm’s policies
Works with Senior Relationship Officers in the resolution of sales activities and escalates issues to the corresponding management level when appropriate
Ensures that the Advisors have the necessary resources to successfully operate within the firm
Partners with key internal resources with the objective of identifying process improvement areas and/or efficiencies
Partners with leaders in the compliance and legal departments on matters related to risk initiatives
Builds key relationships with the firm’s clients, department team members and other key stakeholders to ensure an integral approach to the sales function
Serves as the key point person on issues related to regulatory and audit results with impact in the short and long-term timeframe
Job description
The Sales Supervisor has the overall responsibility for providing day to day supervision and guidance to the assigned Advisors and/or Brokers. Provides guidance and support to the sales process and resolves any issues with clients by working closely with Senior Relationship Management team.
JOB RESPONSIBILITIES/MAIN FUNCTIONS
• Responsible for the day-to-day oversight of the sales process ensuring policies, practices and regulations are followed by the firm’s clients.
• Works closely with the firm’s internal resources on matters related to compliance, ensuring policies and procedures are followed.
• Monitors sales activities using various tools and reports ensuring that all activities are in compliance with established regulations and firm’s policies.
• Works with Senior Relationship Officers in the resolution of sales activities and escalates issues to the corresponding management level when appropriate.
• Ensures that the Advisors have the necessary resources to successfully operate within the firm.
• Partners with key internal resources with the objective of identifying process improvement areas and/or efficiencies.
• Partners with leaders in the compliance and legal departments on matters related to risk initiatives.
• Builds key relationships with the firm’s clients, department team members and other key stakeholders to ensure an integral approach to the sales function.
• Serves as the key point person on issues related to regulatory and audit results with impact in the short and long-term timeframe.
JOB REQUIREMENTS
• Bachelor’s degree in business administration with a concentration in finance or related field.
• Minimum eight (8) years of work-related experience; a minimum of four (4) of them in a branch office compliance or sales supervision function.
• Series 7 and Series 24 are required to perform the job function.
• Bilingual in English and Spanish.
• Advanced knowledge in MS platforms/software.
DESIRED SKILLS
• Self-starter, driven and exceptional attention to detail.
• Excellent organizational skills with a proven ability to meet deadlines.
• Excellent critical thinking skills.
• Strong team building and collaborating abilities.
• Strong analytical and detailed oriented skills.
• High level of interpersonal skills, team player.
• Ability to leverage on technology.
• Ability to create efficiencies and self-starter.
• Comfortable in a fast pace and dynamic environment.
• Ability to work independently with minimal direct supervision.
Bachelor’s degree in business administration with a concentration in finance or related field
Minimum eight (8) years of work-related experience; a minimum of four (4) of them in a branch office compliance or sales supervision function
Series 7 and Series 24 are required to perform the job function
Bilingual in English and Spanish
Advanced knowledge in MS platforms/software
Responsibilities
The Sales Supervisor has the overall responsibility for providing day to day supervision and guidance to the assigned Advisors and/or Brokers
Provides guidance and support to the sales process and resolves any issues with clients by working closely with Senior Relationship Management team
Responsible for the day-to-day oversight of the sales process ensuring policies, practices and regulations are followed by the firm’s clients
Works closely with the firm’s internal resources on matters related to compliance, ensuring policies and procedures are followed
Monitors sales activities using various tools and reports ensuring that all activities are in compliance with established regulations and firm’s policies
Works with Senior Relationship Officers in the resolution of sales activities and escalates issues to the corresponding management level when appropriate
Ensures that the Advisors have the necessary resources to successfully operate within the firm
Partners with key internal resources with the objective of identifying process improvement areas and/or efficiencies
Partners with leaders in the compliance and legal departments on matters related to risk initiatives
Builds key relationships with the firm’s clients, department team members and other key stakeholders to ensure an integral approach to the sales function
Serves as the key point person on issues related to regulatory and audit results with impact in the short and long-term timeframe
Job description
The Sales Supervisor has the overall responsibility for providing day to day supervision and guidance to the assigned Advisors and/or Brokers. Provides guidance and support to the sales process and resolves any issues with clients by working closely with Senior Relationship Management team.
JOB RESPONSIBILITIES/MAIN FUNCTIONS
• Responsible for the day-to-day oversight of the sales process ensuring policies, practices and regulations are followed by the firm’s clients.
• Works closely with the firm’s internal resources on matters related to compliance, ensuring policies and procedures are followed.
• Monitors sales activities using various tools and reports ensuring that all activities are in compliance with established regulations and firm’s policies.
• Works with Senior Relationship Officers in the resolution of sales activities and escalates issues to the corresponding management level when appropriate.
• Ensures that the Advisors have the necessary resources to successfully operate within the firm.
• Partners with key internal resources with the objective of identifying process improvement areas and/or efficiencies.
• Partners with leaders in the compliance and legal departments on matters related to risk initiatives.
• Builds key relationships with the firm’s clients, department team members and other key stakeholders to ensure an integral approach to the sales function.
• Serves as the key point person on issues related to regulatory and audit results with impact in the short and long-term timeframe.
JOB REQUIREMENTS
• Bachelor’s degree in business administration with a concentration in finance or related field.
• Minimum eight (8) years of work-related experience; a minimum of four (4) of them in a branch office compliance or sales supervision function.
• Series 7 and Series 24 are required to perform the job function.
• Bilingual in English and Spanish.
• Advanced knowledge in MS platforms/software.
DESIRED SKILLS
• Self-starter, driven and exceptional attention to detail.
• Excellent organizational skills with a proven ability to meet deadlines.
• Excellent critical thinking skills.
• Strong team building and collaborating abilities.
• Strong analytical and detailed oriented skills.
• High level of interpersonal skills, team player.
• Ability to leverage on technology.
• Ability to create efficiencies and self-starter.
• Comfortable in a fast pace and dynamic environment.
• Ability to work independently with minimal direct supervision.
💡 Quick Summary
Seeking a career-building opportunity? The Supervisor Principal | Broker Dealer position is now open for candidates interested in the Marketing Executive Jobs sector. This role in Miami offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Marketing Executive Jobs is a plus.
