Market Supervision Manager
Market Supervision Manager
Grab the opportunity to achieve your full potential! Eclaro is looking for a Market Supervision Manager for our client in San Francisco, CA.
Eclaro’s client is one of the world's largest financial institutions, committed to providing the tools and services that bridge the gap between customers and their goals. If you’re up to the challenge, then take a chance at this rewarding opportunity!
- Reports to the client's Market Executive with dual reporting to the Division Supervision Executive (DSE)
- Supports the Firm's business objectives and contributes to the Market's profitability by influencing FA business practices in ways that minimize regulatory and financial risk as well as uphold the Firms' reputation
- Protects the Firm, grows the business and serves the client by proactively managing and mitigating risk
- 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
- 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
- Preferred Candidate is internal; If currently an internal associate, completion of Associate Office Management Team Development program and/or currently a client's Market Supervision Manager required
- Bachelor's degree or equivalent work experience
Interested in applying? Contact Adrian Miranda at firstname.lastname@example.org now.
Equal Opportunity Employer: Eclaro values diversity and does not discriminate based on Race, Color, Religion, Sex, Sexual Orientation, Gender Identity, National Origin, Age, Genetic Information, Disability, Protected Veteran Status, or any other legally protected group status.