Field Supervision Manager

Chartwell Investment Partners

Base: $100,000.00-$112,000.00; bonus/equity: not s...
Fully remote
Adherence to business ethics and laws
Risk mitigation and policy enforcement
Liaise with legal and compliance
Oversees a broad range of supervisory and risk functions, ensuring a controlled environment by adhering to business ethics, practices, and all relevant Federal, State, and Local laws, as well as firm policies and regulations

Job Summary

  • Oversees a broad range of supervisory and risk functions, ensuring a controlled environment by adhering to business ethics, practices, and all relevant Federal, State, and Local laws, as well as firm policies and regulations.
  • Partners with Complex/Branch management teams within the assigned territory, overseeing supervisory functions, risk mitigation, and policy enforcement with Advisors and Branch Management.
  • Provides regular education and communication on processes and policies, promoting risk awareness and a compliant environment.

Matching Summary

Oversees a broad range of supervisory and risk functions, ensuring a controlled environment by adhering to business ethics, practices, and all relevant Federal, State, and Local laws, as well as firm policies and regulations.

Salary

Base: $100,000.00-$112,000.00; Bonus/Equity: Not specified; Benefits: Not specified

Skills & Requirements

Must-have

  • Adherence to business ethics and laws
  • Risk mitigation and policy enforcement
  • Liaise with Legal and Compliance
  • Promote risk awareness and compliance

Nice-to-have

  • Service 1st attitude
  • Tact and diplomacy
  • Calm and professional demeanor

Key Requirements

  • Minimum of six (6) years of Administrative Manager or Supervision experience
  • Bachelor's degree or equivalent experience
  • Appropriate series license(s) required or ability to obtain
  • Series 7, 9, 10, 66 required

Work Rights

Not specified

Tailored Resume

Cover Letter