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Supervisory Control Manager

2 weeks ago

Taguig, Philippines TASQ Staffing Solutions Full time
In this role, you will: 
  • Manage and develop a team of analysts, principals, reviewers, supervisors and managers 
  • Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations 
  • Identify and recommend opportunities for coordinating proper staffing and coverage 
  • Implement and monitor policies and procedures 
  • Provide regular reporting to branches, regions and channels to ensure that the activity is in compliance with all regulatory and firm policies 
  • Make decisions and resolve issues regarding compliance, supervision policies, practices, hiring and training 
  • Monitor sales review activities, coordinate proper staff and coverage and develop and implement training plans within Wealth Brokerage Services to meet business objectives 
  • Collaborate and consult with more experienced management 
  • Meet regularly with risk and business partners as well as serve as a primary business contact on key initiatives with Wealth, Compliance, Risk, regional management and other home office departments 
  • Manage allocation of people and financial resources for Supervisory Control 
  • Mentor and guide talent development of direct reports and assist in hiring talent 
Required Qualifications: 
  • Experience in Supervisory Control. Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage, or equivalent demonstrated through one or a combination of the following: work experience, training, education 
  • 2+ years of leadership experience ( Managerial) 
Desired Qualifications: 
  • Minimum of 2-year experience leading teams preferably in brokerage operations
  • Strong stakeholder and communication skills 
  • Experience in transformation and process improvement, strongly preferred 
  • Active FINRA Series 7 license, required 
  • Active FINRA Series 24 and/or Series 9/10, preferred 
Job Expectations: 
  • Willing to work US hours 
  • Willing to work onsite (BGC office)