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Job description
You Might Be a Great Fit If You
Remain calm and decisive when addressing complex supervisory situations
Enjoy developing leaders and helping talented people reach their full potential
Balance strong risk management with thoughtful business judgment
Build trust quickly with advisors, branch leaders, and business partners
Communicate difficult messages with clarity, confidence, and credibility
What You Will Do
Lead, coach, mentor, and develop a team of Home Office Branch Managers
Oversee supervisory programs, procedures, resources, and controls
Monitor supervisory activity, trends, alerts, and risk indicators
Partner with Compliance, Division Supervision, Division Management, and other stakeholders
Lead initiatives that strengthen supervisory effectiveness and efficiency within the Supervisory Solutions program
Represent Supervisory Solutions with advisors and leaders
What Success Looks Like
Home Office Branch Managers feel supported and developed
Supervisory risks are identified early and addressed appropriately
Stakeholders view Supervisory Solutions as a trusted business partner
Regulatory obligations are met with consistency and professionalism
What You Bring
Knowledge & Skills
Strong understanding of securities industry rules, regulations, and supervisory practices
Working knowledge of investment products, financial markets, and advisory activities
Excellent analytical, critical thinking, and problem-solving skills
Strong written and verbal communication abilities
Ability to manage multiple priorities in a fast-paced environment
Proven ability to influence and build credibility across a broad range of stakeholders
Strong organizational skills and attention to detail
Ability to coach, mentor, and lead others
Why This Role Matters
Strong supervision is about more than policies, procedures, and approvals. It is about helping advisors serve clients responsibly, developing leaders, and strengthening the firm through sound judgment and partnerships.
If you are energized by leading others, meaningful work, thoughtful collaboration, and making sound decisions in a complex environment, we would love to hear from you.
Educational/Previous Experience Requirements:
Bachelor’s degree (B.A.) from four-year college or university, and a minimum of eight (8) years’ experience in a financial services firm / supervision
3 to 6 years of managerial experience preferred, including experience leading direct reports or cross-functional reporting resources
~or~
An equivalent combination of experience, education, and/or training as approved by Human Resources
Licenses/Certifications
Series 7, Series 9/10 or 24, 66 or 63/65 is required
Series 53, Life, Health, and Variable Annuity Insurance Licenses preferred
Worksite address
denver, CO, 80285, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.