Senior Supervisor Manager, Centralized Oversight Unit

4 weeks ago

Charlotte, North Carolina, United States Threadneedle group Full time

Position Overview
This Senior Supervisor Manager will lead a team of Sales Supervision Managers (SSM) within the Annuity and Insurance Oversight division.

The SSMs play a crucial role in supporting our advisors and clients, focusing on supervisory analysis of advisor activities with clients and prospects, which may involve the provision of specific products or services and client communications.

SSMs possess extensive knowledge in their functional areas, ensuring effective communication with advisors and clients while staying informed on regulatory and industry developments.

Senior Supervisors are expected to demonstrate similar expertise to navigate complex situations arising from supervision and exhibit leadership skills to manage team performance metrics and evaluations.

Key Responsibilities

  • Provide leadership to the team, assessing performance through interactions, quality reviews, and metric analysis, offering real-time feedback to influence behavior.
  • Monitor workflow and metrics to guarantee timely and quality supervision.
  • Collaborate closely with functional leaders to establish strategic direction for supervising highly complex products.
  • Consult with team members, other supervision leaders, advisors, and field leaders on escalated cases, including advisor disputes regarding policies and procedures.
  • Act as a resource to influence business partners and senior leaders concerning key business initiatives and supervisory requirements.
  • Represent the team in field communications related to business policies, supervisory impacts, and tool modifications.
  • Deliver ongoing training to team members and support growth and development opportunities through one-on-one discussions, team meetings, and huddles.
  • Enhance community engagement through departmental and company initiatives, actively participating in self-development programs.
  • Drive the team's efforts to innovate and enhance the effectiveness and efficiency of processes, refining day-to-day operations to focus on significant issues.
  • Ensure that Operating Procedures and Written Supervisory Procedures (WSPs) are current and accurate.
  • Stay informed on changes in the regulatory landscape and competitive environment, including new regulations and product offerings, assessing potential impacts on the team.
  • Monitor team capacity and engage in decisions regarding staffing needs, partnering with HR to post and promote openings and interview quality candidates.
  • Conduct quarterly training for new hires in the RP Curriculum for SSMs joining the department.
  • Represent the firm and its processes in response to examinations, investigations, and other regulatory matters, which may include engagements with regulators or providing testimony in arbitration matters.

Required Qualifications
Bachelor's degree preferred or equivalent experience, along with 5 years of relevant work experience.
Active Series 7, Series 24, and Series 63 or 66 licenses required.
Advanced problem-solving and analytical capabilities.
Ability to consistently exercise sound judgment in complex decision-making situations.
Proficient in analyzing high-complexity issues and translating findings for diverse audiences.
Strong written and verbal communication skills, including the ability to convey unfavorable messages to team members and advisors.
Consistent ability to influence positive behavior through coaching and education.
Capacity to independently prepare and present materials for senior leadership.

Preferred Qualifications
Experience in direct or indirect leadership roles.
Ability to attract and retain high-performing staff.
Expertise in annuities and insurance, including industry practices.

About Our Company
We are a diversified financial services leader managing over $1 trillion in assets as of 2022.

Our team of 20,000 professionals across more than 20 countries advises and manages assets and income for over 2 million individual, small business, and institutional clients.

We are a recognized leader in financial planning and advice, a global asset manager, and an insurer.

Our unwavering commitment to our clients and strong financial foundation connects our unique businesses.

We foster meaningful careers, invest in the future, and make a positive impact for clients, institutions, and communities worldwide.

We are an equal opportunity employer, considering all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status, or any other basis prohibited by law.

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