Senior Manager, RJFS Supervisory Solutions
This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for a Senior Manager, RJFS Supervisory Solutions based in United States.
This senior leadership role oversees a team of Home Office Branch Managers supporting supervisory oversight across participating branches.
You’ll help shape supervisory strategy while balancing regulatory requirements, business needs, and sound professional judgment.
The role combines people leadership, risk management, stakeholder engagement, and continuous improvement.
You’ll monitor supervisory activity, trends, alerts, and risk indicators to help identify and address issues proactively.
Success requires strong credibility with advisors, branch leaders, compliance partners, and other senior stakeholders.
You’ll have significant influence over supervisory effectiveness while developing experienced professionals and strengthening operational practices.
The position is fully remote, based in Colorado, with travel expected to be less than 25%.
Accountabilities
Lead, coach, mentor, and develop a team of Home Office Branch Managers, supporting their professional growth and effectiveness.
Oversee supervisory programs, procedures, resources, controls, and operating practices to promote consistent and effective oversight.
Monitor supervisory activity, trends, alerts, and risk indicators to identify emerging concerns and support timely resolution.
Evaluate complex supervisory situations, applying regulatory knowledge, risk management principles, and sound business judgment.
Partner with Compliance, Division Supervision, Division Management, advisors, branch leaders, and other stakeholders to address supervisory matters and strengthen collaboration.
Lead initiatives designed to improve the effectiveness, efficiency, and scalability of supervisory processes and the broader Supervisory Solutions program.
Represent the supervisory function with advisors and business leaders, building trust and communicating expectations clearly.
Identify opportunities for process improvement and help implement practical solutions that strengthen controls and supervisory outcomes.
Provide guidance on securities regulations, investment products, financial markets, advisory activities, and related supervisory requirements.
Manage multiple priorities in a fast-paced environment while maintaining strong organization, attention to detail, and consistent follow-through.
Bachelor’s degree from a four-year college or university and at least 8 years of experience within financial services or a comparable supervisory environment.
An equivalent combination of education, experience, and training may also be considered.
3-6 years of managerial experience is preferred, including experience leading direct reports or cross-functional reporting resources.
Strong understanding of securities industry rules, regulations, and supervisory practices.
Working knowledge of investment products, financial markets, advisory activities, and financial services operations.
Required licenses: Series 7 and Series 9/10 or Series 24, plus Series 66 or Series 63/65.
Series 53 and Life, Health, and Variable Annuity Insurance licenses are preferred.
Excellent analytical, critical-thinking, problem-solving, written, and verbal communication skills.
Demonstrated ability to influence stakeholders, build credibility, and establish effective working relationships across different functions and levels.
Strong coaching, mentoring, people-management, organizational, and decision-making capabilities.
Ability to remain calm and decisive when navigating complex or sensitive supervisory situations.
Ability to balance regulatory expectations and risk management with practical business considerations.
Strong attention to detail and the ability to manage competing priorities in a dynamic environment.
Base salary range of $100,000-$125,000.
Fully remote workstyle.
Travel expected to be less than 25%.
Comprehensive benefits package that may include medical, dental, and vision coverage.
Life insurance, critical illness insurance, accident insurance, and disability benefits.
Retirement savings benefits.
Paid time off, including vacation, holidays, and sick leave.
Parental leave.
Potential eligibility for additional compensation, including discretionary bonuses or other compensation components.
Opportunities to lead experienced professionals and influence supervisory strategy and operational effectiveness.
Professional development and leadership growth opportunities within a collaborative financial services environment.