Supervision Manager - Financial Services

This position is posted by Jobgether on behalf of a partner company. We are currently looking for a Supervision Manager - Financial Services in United States.

This role offers an exciting opportunity to lead and enhance the supervision of investment advisory activities within a dynamic financial services environment. You will work closely with advisors to provide guidance, ensure regulatory compliance, and maintain operational excellence across client portfolios. The position involves translating complex supervisory and regulatory requirements into actionable, practical guidance for advisors, supporting both client experience and advisor confidence. You will also contribute to the development of scalable supervision frameworks, monitor risk, and ensure compliance standards are consistently met. This role balances hands-on advisory support with strategic oversight, providing a direct impact on advisor performance, client satisfaction, and business growth. Ideal candidates are analytical, solutions-oriented, and skilled in relationship-building with the ability to influence and educate diverse teams.

Accountabilities

Provide hands-on supervisory oversight of investment advisory activities to ensure a consistent and high-quality client and advisor experience.
Interact with Investment Advisor Representatives to educate, guide, and reinforce supervisory expectations and firm policies.
Translate regulatory and supervisory requirements into practical guidance for day-to-day advisor workflows.
Conduct day-to-day and periodic supervisory reviews, including portfolio monitoring, issue escalation, and documentation.
Utilize supervision tools to identify trends, risks, and potential compliance issues, and partner with internal teams to resolve findings.
Contribute to the design and refinement of scalable supervisory frameworks, controls, and procedures.
Support advisor retention and business growth by enhancing supervisory effectiveness while balancing regulatory rigor and operational needs.

Requirements

5+ years of experience in supervision or compliance within investment advisory or financial services.
Strong understanding of investment advisory supervision, advisor workflows, and regulatory expectations.
Active FINRA Series 65 or 66 registration required; Series 7 or 24 preferred.
Proven ability to exercise sound judgment, manage competing priorities, and work independently.
Excellent written and verbal communication skills, with the ability to educate and influence advisors effectively.
Analytical mindset with strong critical thinking, problem-solving, and organizational skills.
Preferred: experience within multi-entity RIA structures, familiarity with custodial platforms and supervision technology, and prior contributions to supervisory program design.
Professional certifications such as CFP® are encouraged.

Benefits

Competitive salary: $100,000 – $120,000 per year, with eligibility for performance-based bonus.
Comprehensive health, dental, vision, life, and disability coverage.
401(k) retirement plan with company contributions.
Generous paid time off and holidays.
Remote work flexibility with support for home office setup.
Professional development through structured learning paths, leadership programs, and continuing education support.
Opportunities for career growth within a collaborative and client-focused environment.

How Jobgether works:

We use an AI-powered matching process to ensure your application is reviewed quickly, objectively, and fairly against the role's core requirements. Our system identifies the top-fitting candidates, and this shortlist is then shared directly with the hiring company. The final decision and next steps (interviews, assessments) are managed by their internal team.

We appreciate your interest and wish you the best!

Why Apply Through Jobgether?

Data Privacy Notice: By submitting your application, you acknowledge that Jobgether will process your personal data to evaluate your candidacy and share relevant information with the hiring employer. This processing is based on legitimate interest and pre-contractual measures under applicable data protection laws (including GDPR). You may exercise your rights (access, rectification, erasure, objection) at any time.

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Supervision Manager - Financial Services

Requirements

Benefits

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