Supervision Manager Resume Samples

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M Blick

Manuel

Blick

31308 Schimmel Village

San Francisco

+1 (555) 518 4047

31308 Schimmel Village

San Francisco

Phone

p +1 (555) 518 4047

Experience Experience

San Francisco, CA

Centralized Supervision Manager

San Francisco, CA

Fay, Jacobi and Cronin

San Francisco, CA

Centralized Supervision Manager

Providing advice and guidance on relevant firm policies; and
Work collaboratively with key stakeholders and leadership across cross departmental projects and initiatives
Monitoring call interactions of the Investor Services groups, create reports, analyze results and deliver to the various Investor Services leadership teams
Candidate should have a working knowledge of standard industry and regulatory rules and regulations
Excellent analytical abilities as demonstrated by gathering, analyzing, and delivering information
Resolve a wide range of issues by applying judgment and technical know-how
Candidate should possess extensive knowledge of Schwab Retail business models, Schwab Investment Advisory products to include Fixed Income and Options

Philadelphia, PA

OSJ Regional Supervision Manager

Philadelphia, PA

Mitchell LLC

Philadelphia, PA

OSJ Regional Supervision Manager

Provide compliance support to bank executives relating to ensure compliance with OCC regulations and act as liaison with OCC and SEC for related matters
May deliver presentations at industry-related conferences.Performs other duties and responsibilities as assigned
Plans, assigns, monitors, reviews, evaluates and leads the work of associates
Reviews progress of assignments with senior management
Interprets, applies and recommends changes to organizational policies and procedures
Monitors the sales practice activities of branch managers through the use of various reports and systems
Oversees supervision exception reporting processes and determines any corrective actions

present

New York, NY

Regional Manager, Branch Risk / Supervision

New York, NY

Predovic Group

present

New York, NY

Regional Manager, Branch Risk / Supervision

present

Perform final review and acceptance of Form U4s for applicants, including interviews with sponsoring field OSJ, branch office manager or other parties
Build relationships with office managers/supervisors and representatives; perform supervisory tasks and training to reduce overall firm risk and expenditures
Make recommendations for recruitment and hiring of field OSJs, branch office managers/supervisors and representatives
Assist in promoting recruiting growth and expansion efforts by assigning representative to existing offices and/or help develop new offices to provide adequate field oversight and supervision
Monitor activities and performance of field OSJ’s, branch office managers/supervisors to ensure proper supervision of representatives
Perform special supervisory duties as assigned
Manage relationships and facilitate processes/controls for assigned functions in assignment regions

Education Education

Bachelor’s Degree in Finance

Belmont University

Bachelor’s Degree in Finance

Skills Skills

Strong decision-making ability. The ability to easily work through difficult and time-sensitive problems and issues
Strong leadership skills and a proven ability to effectively influence others
A comprehensive and in-depth knowledge of investment products and strategies (including internationally specific products and services) and their suitability for clients based on investment objectives and financial status
Strong organizational and administrative skills, including a careful attention to planning and detail
Strong verbal and written communication skills
Knowledge of primary finance and accounting functions and/or previous general ledger/budget management experience
7 – 10 years of related industry experience
A comprehensive understanding of the operations of the international business model and the IFA business support infrastructure
Five or more years of management experience, including the supervision of remotely located employees
An in-depth understanding of the firm’s compliance domestic and international policies and procedures

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Assistant Manager, Central Supervision Resume Examples & Samples

Review all new account and foreign account paperwork associated with IFA account opening. Coordinate review and approval of paperwork with PCG Foreign Account Specialist, as well as IFA’s complex management team as needed
Review all foreign account daily trade activity for IFAs via the on-line trade blotter application. Resolve issues directly with the IFAs and/or escalate problems and concerns to the Director - Central Supervisory Unit, as well as complex management teams as appropriate
Coordinate efforts with complex management teams to review electronic communications as dictated via the communication supervisory grid developed as part of the foreign account strategy
Review and approve foreign travel requests made by IFA candidates to foreign markets. This review includes ensuring that it matches with markets that the IFA has been approved for and also that we have received attestation that the IFA(s) has reviewed all applicable foreign market Do’s and Don’ts
Ensure that IFAs coordinate and follow all appropriate privacy related policies associated with PCG, as well as IWM affiliates (particularly involving referrals between the business lines)
Review and provide feedback to RBCWM’s anti-money laundering surveillance team around any transactional inquiries associated with IFA foreign account business
Review and provide feedback associated with the 312 semi-annual reporting for all IFA accounts
Coordinate efforts with complex management staff and dispute resolution around any foreign account complaints or disputes
Implement and maintain a system for ensuring that firm policies and procedures (including internationally specific policies and procedures) are adhered to as they relate to the daily foreign account trade and business activities across the PCG branch network. Assess risk in all areas of responsibility and communicate any potential exposure to the Director - Central Supervisory Unit on a timely basis (e.g. new accounts, active account reviews, trade errors, etc.), as well as coordinate these activities with the complex management teams that are the direct supervisors of the IFA candidates
Escalate potential problems and concerns to the Director - Central Supervisory Unit, complex management team (as necessary) and compliance department, as appropriate, and ensure that all problems are addressed and resolved in a timely, efficient and appropriate manner. Recommend corrective measures when appropriate
Coordinate efforts and provide periodic feedback to appropriate complex management staff regarding IFA foreign account activities, so direct supervisors have clear picture of IFA’s domestic and international business
Implement and maintain a system for ensuring that all required documents are appropriately maintained and archived at the International Supervisory Unit
Assist the Director - Central Supervisory Unit and complex management teams with the coordination of compliance inspections related to IFA foreign account business
Ensure, in the Director - Central Supervisory Unit’s absence, that Central Supervisory Unit office security measures are implemented and adhered to
Participate in active account review process and work with Director - Central Supervisory Unit to review, evaluate and take appropriate actions where necessary to address issues
Supervision of the Central Supervisory Unit’s support staff
Oversee all aspects of staffing including interviewing, hiring and terminating, and the proper completion of all requisite paperwork in coordination with the Central Supervision Operations Manager (if appropriate)
Conduct performance appraisals and compensation reviews and work with employees to identify opportunities for personal and professional development. Ensure employee development plans are written and followed
Monitor performance and take appropriate action to correct and/or resolve performance and/or disciplinary problems
Serve as the escalation point for all staffing issues and concerns
Ensure the effective communication of policy and procedural changes (including specific international policies and procedures) and other issues that impact the staff’s ability to effectively perform their jobs
Ensure staff is adequately trained, including training on the specific aspects of working with internationally designated FAs and the foreign markets that they do business. Coordinate training resources as appropriate
Other licenses as required
A comprehensive and in-depth knowledge of investment products and strategies (including internationally specific products and services) and their suitability for clients based on investment objectives and financial status
A comprehensive understanding of the operations of the international business model and the IFA business support infrastructure
An in-depth understanding of the firm’s compliance domestic and international policies and procedures
Strong leadership skills and a proven ability to effectively influence others
Knowledge of primary finance and accounting functions and/or previous general ledger/budget management experience
Strong decision-making ability. The ability to easily work through difficult and time-sensitive problems and issues
Strong organizational and administrative skills, including a careful attention to planning and detail
Bachelor of Arts degree or Bachelor of Science degree or equivalent
Five or more years of management experience, including the supervision of remotely located employees
7 – 10 years of related industry experience
Series 3 license (commodities)
Experience working with clients from different countries or cultures
Experience with products that have an international focus (e.g. offshore mutual funds, annuities, and other foreign denominated
Experience working with US citizens living abroad and understanding potentially some of their unique tax impacts
Some foreign language experience (not required)

Regional Supervision Manager Resume Examples & Samples

Plans, assigns, monitors, reviews, evaluates and leads the work of associates
Pro-actively ensures compliance with applicable industry rules (State, NASD & SEC) and platform policies and procedures as they apply to account trading activity of branch managers clients' accounts by monitoring branch manager activity, reporting findings and managing concerns in a professional and educational manner
Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies
Company's working structure, policies, mission, and strategies
General office practices, procedures, and methods
Investment concepts, practices and procedures used in the securities industry
Planning and scheduling work to meet regulatory organizational and regulatory requirements
Advanced skills in preparing oral and/or written reports
Highly analytical
Making rule-based and analytical decisions
Manage, coach and mentor others
Partner with other functional areas to accomplish objectives
Attend to detail while maintaining a big picture orientation
Bachelor's degree (B.A/B.S.) in a related discipline and minimum (5) years of experience in retail securities sales, sales management, operations, or compliance, including one (1) year with supervisory responsibility in the financial services industry preferred

Supervision Business Manager Resume Examples & Samples

This role will require working extensively with Supervision and Technology leadership to establish a common operations and technology vision
Lead and deliver technology project scope, requirements and user acceptance testing efforts
Manage and oversee Supervision resources to ensure successful completion and documentation of projects
Identify opportunities to simplify and improve the quality, content and format of initiatives; includes proactive interaction with other areas to define suitability requirements, business needs, technology requirements and implement solutions
Interact with senior management by performing ad-hoc analysis, creating presentation material and executing requests that support objectives and strategies of projects
Partner with CWM business units including IT, Finance, Legal, Retail Sales, Branch Admin, HR, and Audit to identify necessary suitability /regulatory requirements
Prioritize technology spending to remain within budget constraints
Audit leadership and responses to regulatory inquiries
BS in Finance or Management Information systems
Ability to translate business requirements into functional specifications following departmental standards
Ability to work with the IT development team. Communicate requirements and deadlines
5+ years analytical experience with a financial reporting background and strong research and analysis skills
Required Lisences- FINRA series 7, 24, 66, 53Ability to translate technical data into simple business terms and represent the team and business at meetings
Understanding of forecasts and budgets
Advanced skills in Excel (with the ability to easily create Pivot tables)

Financial Control & Supervision Manager Resume Examples & Samples

Traveling 20-30% of the time between domestic locations, at least for the first year to 18 months
Assisting with the development and implementation of audit
Assessing the firms' accounting quality control structures to assess the degree of compliance with applicable regulatory and internal rules and policies
Assessing the Accounting and Finance Department’s internal control environment
Meeting and interviewing firm personnel to understand and challenge processes and controls
Gathering and organizing information to support identified control deficiencies
Communicating findings with firm personnel and Senior Management
Researching and consulting with others on technical issues
Participating to the improvement of the accounts ownership and certification process
Participating to the convergence of processes and controls of recently merged broker dealers
Subject matter expert in terms of internal control and risks
Approximately 3-4 years of experience working as a banking auditor or financial controller in the financial sector
Broker Dealer experience
Knowledge and experience in securities investment accounting, futures accounting, repo/reverse repo, stock borrow/lending, prime brokerage business and FCM (futures commission merchant) business
Experience in working as a banking auditor or financial controller
Significant experience in having applied relevant technical knowledge in at least one of the following engagements: (a) financial statement audits; (b) internal or operational audits; (c) SOC engagements; and/or (d) ERP security and controls reviews (Oracle, SAP, PeopleSoft), (e) data analytics
Proficient written and verbal communication skills and presentation skills
Excellent leadership, teamwork and client service skills
Demonstrated integrity within a professional environment
Regulatory accounting experience/FINOP

Advisory Regional Supervision Manager Resume Examples & Samples

Reviews progress of assignments with senior management
Oversees supervision exception reporting processes and determines any corrective actions
Monitors the sales practice activities of branch managers through the use of various reports and systems
Establishes objectives and developing processes and procedures to ensure adherence to all compliance requirements
Uses financial data and performance indicators to propose and/or assist with establishing control mechanisms and other improvement initiatives. Identifies trends and assists with implementing corrective action as necessary
May deliver presentations at industry-related conferences
Concepts, practices and procedures of securities industry and/or banking compliance; including suitability and other compliance/supervisory issues involved with retail activity
Section 404 of the Sarbanes-Oxley Act of 2002
Excellent Investigation skills to reveal sales practice issues and irregularities
Handles stressful situations and provide a high level of customer service in a calm and professional manner
Establish and maintain effective working relationships at all levels of the organization

Manager Complex Product Supervision Resume Examples & Samples

Staff Management - Responsible for hiring, training, and motivating staff. The Manager will provide ongoing support, coaching, feedback and developmental opportunities to address staff needs in order to engage them and help them be more effective and successful. The Manager will conduct staff meetings, team meetings, and one on one meetings in addition to goal setting and conducting employee evaluations, criteria’s which include quality control and oversight
Service Management – Must handle escalations and maintain positive relationships with Advisors, OSJ Managers and internally throughout the firm
Production Management – Must ensure staff adheres to service level agreements. Must also analyze, coordinate and define risk for LPL in the scope of impending rule changes, business model needs, risk based mitigation approaches that may yield changes to functions, and departmental requirements. Strategize on approach to build or change current processes / procedures, including resources needed, requirements with which to comply, timeline for implementation, and ways with which to actively supervise these processes. Understand and interpret rule requirements and the impact of their changes, and understand the business needs of LPL, our advisors, and other departments. Must be able to communicate status and project outline to management and set the specific direction of a project, lead, and maintain an overall vision of the initiative/project
Analysis of current/proposed policies, controls and required rules. Must possess the ability to interpret federal and state regulations and develop and apply certain policies and procedures within the scope of the current regulatory environment in an attempt to mitigate risk and protect the firm

Manager, Regional Supervision Resume Examples & Samples

Four year college degree preferred
10 years securities industry related experience required
Series 7, 24, and 65/66 required; 63 preferred
Sound understanding and knowledge of compliance and suitability issues and FINRA/SEC regulations required
Two to three years management experience and previous Regional experience preferred
Strong computer skills required, including MS Outlook, MS Word, and MS EXCEL
Proficient knowledge of English grammar, spelling and proper business etiquette
Highly professional attitude and demeanor
Ability to prioritize multiple responsibilities
Familiarity with variable insurance products and alternative investments
Robust “pro-sales” and “pro-rep” attitude
Periodic travel required
Recruits, interviews, and assists in the selection and hiring, and training of Regional Managers
Supervises, monitors, and tracks Regional Manager’s activities as they relate to performing their supervisory responsibilities as well as their activities on behalf of TFA
Provides guidance and direction to Regional Managers in the execution of their duties
Has regular contact and conducts regular meetings with each Regional Manager for training, guidance, and oversight purposes
Serves as advocate and liaison for Regional Managers with Home Office staff to help research and resolve issues, which may arise with BOMs, OSJs, RRs and IARs
Provides back-up support to Regional Managers in the execution of their supervisory duties when Regional Manager is absent or incapacitated
Assists in identifying training needs of Regional Managers, OSJs, BOMs, Representatives and Home Office Employees and helps develop training programs
Assists in assuring all TFA supervisory procedures are implemented by Regionals and Field Supervisors
Reviews and when necessary approves outside business activities, ARQs, ADVs, and other required items as necessary to ensure timely completion of all required supervisory functions. Also provides ongoing monitoring of all supervisory required functions to ensure completion as specified in TFA policies and procedures
Reviews annual audit reports and responses of all Regionals, OSJs and BOMs. Follows up with respective Regional Managers to insure deficiencies are addressed and corrected as needed
Monitors and tracks trends within regions including but not limited to business activity, recruiting, sales practices and customer complaints as may relate to Regionals, OSJs, BOMs, RRs and IARs duties and responsibilities
Monitors growth of regions to assist in determining when regions may need to be expanded, added and/or restructured
Reviews and approves expenses of Regional Managers, and helps manage and control expenses
Reviews requests for exceptions to BOM and OSJ guidelines and Applicant Evaluation Guidelines and makes recommendations where necessary
Assists with supervision of home office employees who are registered with TFA as needed
Prepares Supervisory Bulletins and Alerts as needed
Facilitates and monitors implementation of special projects
Performs other duties as needed at the AVP of Field Supervision’s or the Chief Supervisory Officer’s discretion

Ccb-fiduciary Supervision Manager Fiduciary Supervision Resume Examples & Samples

Overall effort to continually review and enhance tools, reports and programs used to monitor fiduciary accounts as required by OCC and SEC standards and to make certain supervisory processes are as thorough and effective as possible
Lead efforts to identify potential gaps in supervisory policies and procedures, and work with CWM Management and Compliance and firm-wide fiduciary subject matter experts to continually enhance and document firm policies, procedures and training related to Fiduciary Supervision activities
Coordinate with Training, Sales Management, Product, Operations and Technology to ensure Fiduciary understanding and execution exists in CWM
Interact with Senior Management across all facets of the fiduciary business (Compliance, Legal, Sales, Product, Operations, Administration, Oversight & Control)
Develop and maintain CWM risk reporting and metrics regarding Fiduciary activities
Ensure effective tracking and escalation of Fiduciary Supervision Inquiries and account reviews to prevent excessive aging and ensure full compliance with applicable OCC and SEC regulations
Address and resolve escalated fiduciary supervisory issues and escalate further if warranted
Monitor for, and appropriately address, concerning business trends and work flow patterns
Ensure timely and effective response to Compliance and Audit Examinations on a priority basis
Excellent interpersonal, verbal, & written communication skills
Strong research, analytical, problem solving and decision-making skills
Fiduciary experience required
At least five years of experience in managing a supervisory function
FINRA Series 7, 24, {63, 65 or (66)} licenses preferred

Manager Banking Prudential Regulation & Single Supervision Mechanism Resume Examples & Samples

Assisting our clients in the implementation of prudential reforms such as the Capital Requirements Regulation and Directive (‘CRR/CRD IV’), the Banking Recovery and Resolution Directive (‘BRRD’)’ and related banking industry transformations
Advising our clients in preparing the new Supervisory Review and Evaluation Process (‘SREP’) and the Single Supervision Mechanism (‘SSM’)
Ensuring support to our Audit team concerning the review of prudential indicators such as Capital requirements, Liquidity Coverage and Net Stable Funding Ratios (LCR/NSFR), Leverage Ratio and related aspects of prudential reporting (COREP) to the highest quality standards
Developing strategic answers and proposing these to our clients for assessing and managing the impact of these new prudential standards and requirements on their Business strategy
Ensuring that the solutions are aligned with regulatory updates such as European Banking Authority (EBA) guidelines, technical standards or European Commission Delegated Acts
Managing delivery to and developing relationship with a portfolio of clients in relation to the above services, ensuring client superior experience
Providing trainings and knowledge transfer to EY junior staff
Liaising with other EY service teams

Senior Business Manager, CWM Supervision Resume Examples & Samples

Extensive work with Supervision and Technology leadership to establish a common supervision, operations and technology vision
Prioritizing and delivering project scope, requirements, development and testing efforts across various projects that Supervision owns and/or is part of
Lead, manage and oversee Supervision resources to ensure successful completion and documentation of projects
Leverage other resources from Supervision and other disciplines to develop and execute projects
Represent Supervision on project teams in the creation and implementation of new initiatives, technology releases, external inquiries and other project related matters
Ongoing development and enhancement of CWM tools, metrics and reports to better manage the risks associated with CWM’s business activities
Prioritize project and technology spending to remain within budget constraints
10+ yr industry experience
Extensive knowledge of client related activities, operations and supervision of CWM business activities or relevant industry experience
Ability to work with various partners including technology, compliance, control, risk, legal, product and operations to meet requirements and deadlines
5+ years analytical experience with a financial or metrics experience and strong research and analysis skills
Ability to handle multiple projects at the same time, meet and adhere to strict deadlines and manage ad hoc reporting as needed
Demonstrate superior problem solving and decision-making skills. The candidate must be able to identify issues, seek solutions and gain consensus regarding outcome
Ability to translate technical data into simple business terms and represent the team and business at meetings
Ability to independently think through complex issues and problems and come up with creative solutions
Ability to work independently and with a team
5+ years experience leading a team of people

Associate Supervision Manager Resume Examples & Samples

Review and respond to Sales Practice client complaints received verbally or in writing for Merrill Edge
Conducting thorough supervisory reviews including Risk Management System (RMS), End Of Day (EOD) and Online Trade Review (OTR)
Review and approve new accounts using the Enterprise Account Opening System (EAO)
Approving market and non-market trade corrections
Review and maintain all Compliance and Regulatory Correspondence
Monitor and review large trades
Perform client contact as necessary
Manage projects/initiatives to improve sales supervision and risk management
Must have FINRA Series 7 and 66 or 63 and 65 in order to be considered for the role
Must be willing to take and pass the FINRA Series 9 and 10 within 60 days of start date (in lieu of the 9 and10 we could consider candidates holding all of the following licenses: 4, 24, and 53)
Able to foster collaborative relationships within and across business units
Demonstrate integrity and remains calm under pressure
MEAC or Branch Office CA, FA or Operations experience

Supervision Manager / Administrative Manager Resume Examples & Samples

Work with sales and service partners to support strategic initiatives and resolve day-to-day issues
Supervise proper registration for FSAs and support staff
Respond to client sales practice complaints
Perform supervisory reviews including
Must have FINRA Series 7, 8 or 9/10, 63/65 or 66 to be considered for the role
Strong Leadership and Communication skills
Merrill Edge or Advisory Branch Office supervisory experience preferred

OSJ Regional Supervision Manager Resume Examples & Samples

Performs human resource management activities, including identifying performance problems and approving recommendations for remedial action; identifying training needs, evaluating performance; and interviewing and selecting staff
Provide compliance support to bank executives relating to ensure compliance with OCC regulations and act as liaison with OCC and SEC for related matters
Coordinates registrations, continuing education, licensing, etc. of branch personnel
Oversees daily trading and other office activities
Interfaces with specific business platform sales management associates to inform them of any supervisory concerns that may arise with branch offices and work together with them to address these concerns as well as to resolve any conflicts that may arise to the client accounts of branch managers
Develops, implements and enforces policies and procedures for all business platform branch office locations not currently staffed with a licensed and qualified branch manger by serving at the designated manager of these OSJ locations
Pro-actively ensures compliance with applicable industry rules (State, NASD & SEC) and platform policies and procedures as they apply to account trading activity of branch managers clients’ accounts by monitoring branch manager activity, reporting findings and managing concerns in a professional and educational manner
Ensures effective coordination occurs between assigned regional area and other functional areas
May deliver presentations at industry-related conferences.Performs other duties and responsibilities as assigned
Corporate Representative at Arbitration/Mediations
Financial markets and products
Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases
Identifying and applying appropriate supervision monitoring procedures
Gather information, identify linkages and trends and apply findings to assignments
Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels

Fxlm Business Control & Supervision Manager Resume Examples & Samples

Supporting control governance framework in the business and in particular the FXLM Supervision and Control Committee
Monitoring of key systems and controls for conduct risk management, identification gaps and building remediation plans where required
Coordination of development and implementation of plans of supervision for the business
Development and improvement of tools designed for FXLM controls and supervision. This includes FXLM Traders and Sales Control Dashboard, Quick!nsight, UNO and profiling trader and sales activity
Involvement in regulatory and FX remediation work
Standardisation of FXLM MCA framework including conduct risk
Development and maintenance of conduct risk metrics for the business
Partnership with Markets Business Control and Supervision team to promote coordination and standardization of key controls across all products
The candidate will require extensive knowledge of the FXLM business and have an acute understanding of the key controls issues in a Sales and Trading business
Experience in project and change management
Good understanding of Front Office technology platforms will be beneficial
Excellent communications skills (written / verbal) at all organisational levels
Results/task orientated with excellent attention to detail
Ability to mange and prioritise effectively and resolve conflicting priorities
Ability to work well as part of a team and autonomously
High level of computer literacy

Production Supervision Manager Resume Examples & Samples

Manage an operation business unit, or part of a production facility in order to reach defined targets in safety quality, cost and delivery
Ensure continuous business improvement according to benchmarks and standards
Team management of salaried employees
Actively support and engage in all EHS activity, Company policies and procedures to ensure staff are fully compliant
Develop and maintain a safe workplace for all employees and contractors. Ensure 100% compliance to our quality procedures
Develop and maintain systems for effective monitoring and improvement of skills and competencies along with the development of training plans
Develop, monitor and report on performance against KPIs, Focusing on operational efficiency and effectiveness to optimize performance
In collaboration with the program and engineering teams, create and implement best-in-class cross functional team focus in quality and on time delivery to our customers
Engineering Bachelor's degree from an accredited university or college (or a high school diploma / GED) or equivalent knowledge and experience
Significant experience within a manufacturing environment with demonstrable progression into Operations Management
Ability to influence others and lead small teams
Lead initiatives of moderate scope and impact
Ability to coordinate several projects simultaneously
Effective problem identification and solution skills
Proven analytical and organizational ability

Construction Supervision Manager Resume Examples & Samples

B.Sc. Civil/Mechanical Engineering Degree
Valid PMP Certificate
15 years of experience overall
At least 10 years of experience in similar projects
At least 5 years of experience as Construction Supervision Manager

Supervision & Controls Senior Team Manager Resume Examples & Samples

Managing and participating in cross enterprise projects, including prioritization of team and firm initiatives
Interviewing partners to gather data/requirements and to create new and/or update existing processes and/or reporting
Accurately documenting changes to procedural documents and mitigating impacts surrounding procedural change and implementation

Regional Manager, Branch Risk / Supervision Resume Examples & Samples

Manage relationships and facilitate processes/controls for assigned functions in assignment regions
Assist in promoting recruiting growth and expansion efforts by assigning representative to existing offices and/or help develop new offices to provide adequate field oversight and supervision
Build relationships with office managers/supervisors and representatives; perform supervisory tasks and training to reduce overall firm risk and expenditures
Monitor activities and performance of field OSJ’s, branch office managers/supervisors to ensure proper supervision of representatives
Make recommendations for recruitment and hiring of field OSJs, branch office managers/supervisors and representatives
Visit branch offices as directed to review and monitor for adherence to company policies and procedures
Review annual audit reports and assist in implementing procedural changes as needed
Review correspondence and communications for the public to ensure adherence with company policies
Perform final review and acceptance of Form U4s for applicants, including interviews with sponsoring field OSJ, branch office manager or other parties
Assist in training as needed
Assist in suitability reviews as assigned
Perform special supervisory duties as assigned
Bachelor’s degree in finance or business-related field, or equivalent work experience
Ten years of financial services experience in a related support, training or supervisory role
FINRA Series 7, 24, 63, 65
FINRA Series 53 or 51, or obtain with 90 days of hire
In-depth knowledge of securities products, FINRA regulations, compliance and suitability review practices
Analytical skills and attention to detail
Proficiency in MS Office (Word, Excel)
CFP, CFA
Training experience

Centralized Supervision Manager Resume Examples & Samples

Monitoring call interactions of the Investor Services groups, create reports, analyze results and deliver to the various Investor Services leadership teams
Strong communication, influencing, and relationship skills, including experience working with all levels of management
Apply specialized knowledge within area of expertise
Ability to identify and escalate potential sales practice issues in a timely manner
Resolve a wide range of issues by applying judgment and technical know-how
Work collaboratively with key stakeholders and leadership across cross departmental projects and initiatives
Active FINRA Series 7, 63, 8 (9/10) required
Series 66 (63/65) required (may be offered as 120 day Condition of Employment)
Thorough knowledge of brokerage/financial services industry with a minimum of three years prior experience required
At least two years sales practice experience required
At least two years supervisory/management experience preferred
Demonstrated passion for identifying and solving problems
Positive attitude, enthusiasm, professionalism and strong work ethic with high level of integrity and ethics
Excellent verbal and written communication skills to influence and build consensus as well as proven presentation skills
Demonstrated skill in leadership, employee motivation, and coaching
Proven experience working collaboratively, improving productivity, and implementing ideas
Time management, organization, and prioritization skills
The ability to work under intensive deadlines
Bachelor’s degree in finance, economics, business administration, or related area
Prior experience with staffing and talent management
Additional management or leadership training

Supervision & Controls, Advocay Case Manager Resume Examples & Samples

Providing advice and guidance on relevant firm policies and procedures
Possess a high emotional maturity
Active and valid Series 7 is required
Active and valid Series 63 (or 90 day COE)

Centralized Supervision Manager Resume Examples & Samples

Daily supervision of Portfolio Consultant activities, inclusive of trading, advised offer enrollment approvals/reviews, communications with the public, operational and other approvals/reviews as needed
The Centralized Supervisor must possess the skills necessary to work with business partners across the firm; build effective working relationships with various levels of department employees from Portfolio Consultants to senior leadership
Candidate should possess extensive knowledge of Schwab Retail business models, Schwab Investment Advisory products to include Fixed Income and Options
Candidate should have a working knowledge of standard industry and regulatory rules and regulations
The ideal Candidate will have proven supervision and oversight skills displaying a track record of operating at both strategic and tactical levels
Candidate must possess the ability to influence others through the development of strong working relationships
The candidate will operate in a fast paced environment and have the ability to make decisions based on sound business judgment, with information at hand

Ccb-senior Fiduciary Supervision Business Manager Fiduciary Supervision Resume Examples & Samples

Identify and lead efforts with partners in AM/Firmwide team to identify and share CWM fiduciary focus areas, best practices, coordinate the escalation/resolution of joint issues
Lead efforts to identify potential gaps in CWM fiduciary policies and procedures, and work with CWM Management and Compliance and firm-wide fiduciary subject matter experts to continually enhance and document firm policies, procedures and training related to Fiduciary Supervision activities
Leadership role in driving enhancements to CWM’s Fiduciary governance framework, agenda and management reporting
Interact with Firmwide Senior Management across all facets of the fiduciary business (Compliance, Legal, Sales, Product, Operations, Administration, Oversight & Control)
Develop and maintain CWM reporting and metrics regarding Fiduciary activities
Lead efforts to develop and maintain CWM Supervision reporting regarding Fiduciary Supervision activities
Ensure effective tracking and escalation of Fiduciary Supervision Inquiries and account reviews to prevent excessive aging to support compliance with applicable OCC and SEC regulations
Strong organization & management skills
Demonstrated leadership, employee development, coaching and motivational skills
Excellent computer and navigational skills (Microsoft Office)
Strong working knowledge & experience with regulatory rules; OCC, FINRA, SEC
At least ten years of experience in the securities/investment industry required

Scotiamcleod Branch Supervision Manager Resume Examples & Samples

Minimum 5 to 10 years experience in the financial services industry, with some branch and sales management experience and accomplishments
Strong understanding of, and experience in, general management concepts, i.e. finance, human resources, marketing, sales, compliance, operations
Proficient in MS Office (outlook, word, access, excel)
Commitment to on-going industry education and CE requirements to remain registered

Ccb-supervision Manager Resume Examples & Samples

Act as subject matter expert for a team of Supervision Officers as they execute delegated supervisory duties
Ensure that all work completed by team is within guidelines
Assist in overall effort to continually review and enhance tools, reports and programs used to monitor investment trades to make certain supervisory processes are as thorough as possible
Help identify potential gaps in supervisory policies and procedures, and work with Management and Compliance to continually enhance and document effective policies and procedures
Interact with Senior Management across all facets of retail brokerage business (Compliance, Legal, Sales, Operations, Administration)
Address Supervision Inquiries with Registered Representatives and Supervisory Managers
Assist as needed in reviewing inbound & outbound quarantined e-mails and 3% of clean e-mails
Appropriately escalate, and help resolve, supervisory issues as warranted
Monitor for, and appropriately address, concerning business trends and patterns
Track Supervision Inquiries and address open items to prevent excessive aging
Respond to Compliance and Audit Examinations on a priority basis
Strong organization & supervisory skills
Excellent computer navigational skills (Microsoft Office)
At least five years of securities/investment industry experience required
Three years of supervisory or project management experience required
Retail brokerage experience strongly preferred
Proven ability to work in a dynamic team environment
FINRA Series 7, 9/10 (or 24, 53 and 4), 66 (or 63/65), minimum licensing requirements
Life and Health license required within 30 days of hire date

Supervision Manager Resume Examples & Samples

Supervises new accounts, ACAT and Non-ACAT transfers, and updates changes in suitability, name and address files; files new account forms and documents, processes return mail and correspondent regulatory mailings; and maintains and communicates status of new business with representatives, staff, and management
Performs delegated supervisory responsibilities by reviewing and approving as a principal documents including new account applications, trade disclosures, deposits, distributions, and LOIs as needed
Assists in the daily review of firm supervision reports including account changes, money movement; and suitability review of the trade blotter, mutual fund transaction reports and other trade related reports as needed
Supervises and monitors activity in IRA and non-prototype retirement plans; supervises distribution requests, account terminations, account transfers, and charges fees; researches out-of-balance conditions; and responds to customer and broker inquiries
Provides backs-up assistance with trade responsibilities by processing trade cancel/re-bills on trade errors/corrections; handles special overrides; maintains and files order tickets; tracks and monitors reorganization events, option assignments, bond calls and maturities; and communicates status to representatives, staff, and management
Assists in providing training and systems instruction; performs business analysis; and provides reconciliations and supports general business practices of the firm
Serves as a technical operations specialist in assigned areas providing in-depth knowledge for advisors regarding firm operations policy and procedures and acts as a liaison to refer specific questions and/or needs to compliance, sales, fixed income and/or other areas within the firm

Centralized Supervision Manager Resume Examples & Samples

Proven supervision and oversight skills with a working knowledge of industry standards and policies; and
Highly effective organizational and time management skills
Experience implementing process improvements
The ability to work independently, with minimum guidance; and

Brokerage Operations & Supervision Manager Resume Examples & Samples

Bachelor's degree in Business, Finance, or equivalent work experience
10+ years brokerage experience
Series 7, Series 63 and Principal Registration
Highly organized and able to multi-task

Operational Risk Manager Business Control & Supervision AVP Resume Examples & Samples

Ensure trade date processes are executed correctly and in a timely fashion; work with the respective regional groups to take immediate remedial action where problems arise
Track, trend and report on issues in the context of the broader Equities Controls Governance framework
Work with Product Control function to tie T+1 P&L or PAA adjustments back to issues observed at T0 and work to form a remediation plan for recurring issues
Project manage the remediation plan by ensuring the process and technical changes are being implemented by Front Office, Middle Office, MQA or IT, as appropriate
Good experience with trade processes & lifecycles, preferably with direct Equities experience
Excellent process and task management skills; capable of seeing the bigger picture as well as strong focus on day-to-day execution
Project management skills and experience driving change in the large institutions
Tenacious hands-on problem-solving skills
Excellent task management skills and capable of keeping many different moving parts in view at once
Strong project management skills; ability to balance short-term and medium-term remedial action
Ability to identify and manage dependencies across large parts of the front office and control functions
Focus on execution and getting the job done
Minimum of 5 years’ relevant Markets experience, most relevant would be in a control function or Middle Office
Strong evidence of being able to think laterally and see bigger picture, as well as ability to execute