Complex Supervisory Manager - Garden City, NY
for section headings like About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule. Only include sections with real content.
We need to parse the posting.
First paragraph: "Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments. We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm." This is about the firm, could be "About the role"? Actually "About the role" would be description of role. The next paragraph: "The Complex Supervisory Manager works closely with the Complex Director to ensure that all operational, supervisory, and compliance functions are promptly and accurately performed within the Complex of three branches. This role is responsible for helping maintain a strong culture of compliance, operational integrity, risk awareness, and adherence to firm and regulatory requirements. The Complex Supervisory Manager serves as the primary liaison with the Complex Director as well as home office departments." That's role description. So we can put that under About the role
with
. Then "Responsibilities" heading with list of duties. The responsibilities list starts after "Responsibilities". It includes many bullet-like sentences separated by periods. We need to convert to
- . Each bullet is a sentence. We'll need to split them.
List:
- 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.
- Partners with Financial Advisors and support staff to promote a strong culture of compliance, operational excellence, and risk awareness.
- Assists in monitoring and reviewing exception reports, trade corrections, and operational alerts to identify and mitigate potential risks.
- Oversees cashiering, disbursement of checks and securities, processing incoming and outgoing correspondence, account transfers, margin, distribution of wire traffic, home office reports, maintenance of order tickets, client correspondence, and other documents consistent with firm retention requirements.
- 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.).
- Assists in coordination and organization of branch events (including client educational/appreciation events; internal branch/complex celebrations i.e., holiday party).
- Helps educate, reaffirm, and communicate firm initiatives including goals, positioning, and messaging to the Complex.
- Is able to assist others by acting as a resource in the areas of training, coaching, and mentoring.
Now "What You Bring" includes qualifications/skills. We need sections: Requirements, Qualifications, Skills. We need to decide where each piece goes.
"What You Bring" bullet list:
- High School diploma, bachelor’s degree preferred but not required.
- Series 7, 63 and 65, or 66 ;9 and 10 would need to be obtained immediately upon hire.
- Possess 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.
- Possess high ethical standards.
- Proactive and able to work effectively as part of a team.
- Possess strong attention to detail and strong problem-solving skills.
- Able to think strategically and execute tactically.
- Highly adaptable and able to pivot in an ever-changing and evolving environment.
- Able to build strong trusted relationships with all employees.
We can categorize: Requirements: education, licenses. Qualifications: maybe skills? But we have separate Skills section. The instruction: Use headings for About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule. We need to include sections only if posting has real specific content.
We have content for Requirements (education, licenses). We have content for Skills (communication, proficiency, etc.). Qualifications maybe overlapping; but we could put some under Qualifications like "Proactive and able to work effectively as part of a team", "Possess high ethical standards", "Strong attention to detail", etc. However we need to avoid duplication. Let's decide:
Requirements: Education (High School diploma, bachelor’s degree preferred but not required) and Licenses (Series 7, 63 and 65, or 66 ;9 and 10 would need to be obtained immediately upon hire). Could also include "Possess high ethical standards" maybe as qualification.
Skills: communication, active listening, client service, proficiency in software, ability to work fast-paced, strategic thinking, adaptability, relationship building.
Qualifications: maybe "Proactive and able to work effectively as part of a team", "Possess strong attention to detail and strong problem-solving skills", "Able to think strategically and execute tactically" (though that could be skill). But we can split.
Better: Use Requirements for education/licenses. Use Skills for technical/proficiency and soft skills. Use Qualifications for personal attributes like proactive, team player, ethical standards, attention to detail, problem solving, strategic thinking, adaptability, relationship building. But that may be many.
Given instruction: Prefer a few substantive sections over many thin ones. So maybe combine Requirements and Qualifications into one? But headings are prescribed; we can still include both if they have content. We'll try to make each substantive.
Let's draft:
About the role
The Complex Supervisory Manager works closely with the Complex Director to ensure that all operational, supervisory, and compliance functions are promptly and accurately performed within the Complex of three branches. This role is responsible for helping maintain a strong culture of compliance, operational integrity, risk awareness, and adherence to firm and regulatory requirements. The Complex Supervisory Manager serves as the primary liaison with the Complex Director as well as home office departments.
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.
- Partners with Financial Advisors and support staff to promote a strong culture of compliance, operational excellence, and risk awareness.
- Assists in monitoring and reviewing exception reports, trade corrections, and operational alerts to identify and mitigate potential risks.
- Oversees cashiering, disbursement of checks and securities, processing incoming and outgoing correspondence, account transfers, margin, distribution of wire traffic, home office reports, maintenance of order tickets, client correspondence, and other documents consistent with firm retention requirements.
- 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.).
- Assists in coordination and organization of branch events (including client educational/appreciation events; internal branch/complex celebrations i.e., holiday party).
- Helps educate, reaffirm, and communicate firm initiatives including goals, positioning, and messaging to the Complex.
- Is able to assist others by acting 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 licenses must be obtained immediately upon hire.
Skills
- Strong communication and active listening skills with excellent client service.
- Proficiency in Word, Excel, PowerPoint, Outlook, Sales Force, and Thompson One.
- Able to work effectively in a fast‑paced, deadline‑oriented environment.
- Able to think strategically and execute tactically.
- Highly adaptable and able to pivot in an ever‑changing environment.
- Able to build strong trusted relationships with all employees.
Qualifications
- Possess high ethical standards.
- Proactive and able to work effectively as part of a team.
- Possess strong attention to detail and strong problem‑solving skills.
Pay
withstating salary range and maybe note about bonus/commissions and total compensation potential. Schedule: Not mentioned. So we omit Schedule. We must not include boilerplate like EEO, equal opportunity, etc. The posting includes "Janney is an equal opportunity employer..." at end. Remove. Also remove duplicated lines like the repeated "Janney is an award-winning..." paragraph appears twice; we should keep only once? The instruction: Preserve ALL substantive information; do NOT invent or summarize away detail. Remove duplicated lines. So we should include the firm description only once. We already used it in About the role? Actually we used the role description paragraph, not the firm description. The firm description appears at start and later repeated. We should include it maybe as part of About the role? But we already have About the role describing role. The firm description is separate; maybe we could include a short paragraph about the firm under About the role or maybe we could add a separate section like "About the firm"? Not in allowed headings. The allowed headings are About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule. So we must fit firm description somewhere; maybe we can include it in About the role as a preamble. But About the role currently is role-specific. We could expand About the role to include both firm commitment and role description. That would preserve the firm description. Let's do that: About the role paragraph includes both firm commitment and role description. Thus About the role: combine first paragraph (firm commitment) and role description paragraph. Let's craft:
Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice