Complex Supervisory Manager

Responsibilities

• Oversees branch operational, supervisory and compliance functions in the Complex.
• Escalates compliance, operational, and risk-related issues to the appropriate supervisory or Home Office in a timely manner.
• Maintains awareness of regulatory updates and assists in implementing new compliance procedures, controls, and firm initiatives within the complex.
• Supports completion of annual compliance requirements including attestations, continuing education, branch inspections, and mandatory training.
• Promotes a strong culture of compliance, operational excellence, and risk awareness among Financial Advisors and support staff.
• Monitors and reviews exception reports, trade corrections, and operational alerts to identify and mitigate potential risks.
• Coordinates approval processes for New Accounts, ACH, Wire Transfers, Journals, Annuities, Alternative Investments, POAs, brokerage documentation, legal transfers, stock options, and other transactions.
• Coordinates Marketing approvals and expenses for events and sponsorships.
• Manages all resources required for complex (technology, suppliers, etc.).
• Aids in coordination and organization of branch events (including client educational/appreciation events; internal branch/complex celebrations i.e., holiday party).
• Assists in educating, reaffirming, and communicating firm initiatives including goals, positioning, and messaging to the Complex.
• Absorbs and acts as a resource in the areas of training, coaching, and mentoring.

Requirements

• High School diploma, bachelor’s degree preferred but not required.
• Series 7, 63 and 65, or 66; 9 and 10 must be obtained immediately upon hire.
• Strong communication and active listening skills, and excellent client service skills.
• Proficiency in Word, Excel, PowerPoint, Outlook, Sales Force, and Thompson One.
• Able to work effectively in a fast-paced, deadline-oriented environment.
• High ethical standards.
• Proactive and able to work effectively as part of a team.
• Strong attention to detail and strong problem-solving skills.
• Adaptable and able to pivot in an ever-changing and evolving environment.
• Able to build strong trusted relationships with all employees.

Qualifications

• Highly adaptable and able to pivot in an ever-changing and evolving environment.
• Able to build strong trusted relationships with all employees.

Skills

• Strong communication and active listening skills.
• Excellent client service skills.
• Proficiency in Word, Excel, PowerPoint, Outlook, Sales Force, and Thompson One.
• Ability to work effectively in a fast-paced, deadline-oriented environment.
• High ethical standards.
• Proactive and able to work effectively as part of a team.
• Strong attention to detail and strong problem-solving skills.
• Adaptable and able to pivot in an ever-changing and evolving environment.
• Able to build strong trusted relationships with all employees.

Benefits

• Paid Parental Leave
• Generous Paid Time Off
• Eligibility for a $2,000 referral bonus
• Employee Ownership
• Professional Development Assistance Plan
• Total compensation packages based on experience, skills, credentials, and geographical location
• Salary range for this position will be $93,000 to $121,000
• Eligibility to participate in all company benefits offered by Janney to full-time employees including health, dental, medical coverage, disability income protection, life insurance, PTO/vacation, holidays, and 401(k)

Pay

• Base salary, with eligibility for an annual bonus/commissions if applicable

Schedule

• Full-time