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Supervisor Principal

2 months ago


Houston, United States Insigneo Full time

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.