$91,691–$155,874 Per Year
Analysis Skills, Banking Services, Best Practices, Business Performance Management, Business Support, Coaching, Communication Skills, Detail Oriented, Documentation, Economics, External Audit, Finance, Financial Services, Fixed Income Investments, Internal Audit, Interpersonal Skills, Leadership, Legal, Licensing, Maintain Compliance, Mentoring, Multitasking, Operational Improvement, Operational Support, Operations Processes, Organizational Skills, People Management, Performance Metrics, Procedure Implementation, Process Improvement, Program Control, Record Keeping, Regulations, Regulatory Compliance, Regulatory Requirements, Reporting Skills, Retail, Retail Management, Risk Analysis, Risk Management, Sales, Sales Management, Sales Operations, Sales Support, Securities and Exchange Commission (SEC), Strategic Planning, Team Lead/Manager, Team Player, Time Management, Training Program, Tuition Fees, Wealth Management
Senior Sales Supervision Manager
At Northland, our employees are the heart of our story—and we're committed to their success! Please see below the details of this career opportunity and how it fits into our organization's success.
The Senior Sales Supervision Manager is a key leader within the Retail Wealth Management (RWM) and Institutional Fixed Income (IFI) departments. This role is responsible for overseeing the supervisory functions of the sales teams, ensuring that all activities comply with regulatory requirements, firm policies, and industry best practices. The position leads and develops a team of Supervisory Principals and sales support professionals, providing strategic direction, mentorship, performance management, and operational oversight. In addition, the role serves as a trusted partner to business leadership, helping drive a culture of compliance, risk management, operational excellence, and business performance across the organization.
About This Role:
Supervision & Compliance:
- Oversee all sales activities within RWM and IFI to ensure compliance with FINRA, SEC, and firm regulations.
- Monitor adherence to internal policies, procedures, and supervisory controls.
- Conduct reviews and approvals of client communications, account documentation, and trade activity as required.
- Identify and escalate potential compliance risks or regulatory issues.
Leadership & Team Support:
- Manage a team of supervisory principals and support staff.
- Provide guidance, coaching, and development to Sales, Operations, and Sales Support teams to enhance their effectiveness and understanding of supervisory responsibilities.
- Serve as a primary point of contact for complex sales and supervisory questions.
- Collaborate with other senior leaders to establish departmental risk mitigation standards, goals, and performance metrics.
Strategic Guidance:
- Support business initiatives by aligning supervisory oversight with departmental objectives.
- Recommend process improvements and operational enhancements to ensure efficiency and regulatory compliance.
- Partner with Compliance, Operations, and Leadership to implement new procedures, training programs, and controls.
Reporting & Documentation:
- Maintain accurate records of supervisory reviews, escalations, and resolutions.
- Prepare reports for management and regulatory review as needed.
Audit & Regulatory Examination Readiness:
- Work with the Compliance department on internal and external audits, ensuring all supervisory and operational procedures are up to date and properly documented.
- Participate in FINRA, SEC, and other regulatory examinations as a subject matter expert for sales supervision activities.
- Coordinate with Compliance, Operations, and Legal teams to respond to regulatory inquiries and ensure timely resolution of findings.
The Ideal Candidate for This Role:
Minimum Qualifications:
In-depth knowledge of regulatory requirements and compliance best practices.
- Analytical mindset with the ability to assess risks and make informed decisions.
- Strong organizational and multitasking abilities.
- Excellent communication and interpersonal skills.
- High attention to detail and accuracy.
Required:
- Experience: 10+ years of experience in a supervisory or compliance role within the financial services industry. Retail and fixed income experience preferred.
- Licensing: Active FINRA Series SIE, 7, 24, 66, 53, and 6.
Desired:
- Education: Bachelor's degree in finance, business, economics, or a related field preferred
Candidates must possess unrestricted work authorization and not require future sponsorship.
Compensation:
Compensation range (base pay): $91,691.00-$155,874.00
This role may have a specific starting pay within this range.
Final compensation offer to candidate may vary from posted hiring range based upon work experience, education, and/or skill level.
Work Environment:
It is anticipated that the incumbent in this role will work onsite at the posted location. Our onsite environment fosters innovation, mentorship, and a vibrant culture where ideas flow freely and relationships flourish. As part of our team, you'll experience the energy of our collaborative spaces designed to support your professional growth while working alongside talented colleagues who inspire excellence daily. Please note that work location is subject to change based on business needs.
Benefits Overview:
We offer a variety of benefits designed to keep you and your family physically and financially healthy. Not only do we offer a competitive salary and work-life balance, we offer benefits to match your needs:
- Medical, Dental, Vision Insurance
- 401k, With Matching Contributions
- Time Off Programs
- Health Savings Account (HSA)/Dependent Care
- Employee Banking
- Growth Opportunities
- Tuition Assistance
- Short-Term/Long-Term Disability Insurance
Job number: R-20261006
Northland is an equal opportunity employer for all employees and applicants and makes employment decisions without regard to status or identity.