Branch Supervision Manager - (US-CA-San Francisco)

Branch Supervision Manager - (US-CA-San Francisco)

Compensation: $70K - $85K / Year
Minimum Education: Bachelors
Job Type: Full Time
Jobcode: TJKJA21

Salary PLUS bonus 

Responsible for performing certain supervisory requirements on behalf of the Branch Managers and Business Line Supervisors of all the registered employees within the assigned regional market. This includes all Associated Persons and licensed employees from Institutional Services, Wealth Management, Individual Client Services, Marketing, and any other employee registered though The Company’s Individual & Institutional Services, LLC. 

Qualifications & Requirements 
· Minimum of a Bachelors degree 
· Minimum of 3-5 years of retail regional/branch supervision broker dealer/regulatory and corporate business experience. Not someone who is a part of Compliance. This role is in the Business. This individual understands the Compliance & Regulatory rules and regulations and works directly with the business to bring about solutions/results. 
· Strong written and verbal communication skills, including reports and presentations 
· Strong organizational, time management, analytical and negotiation skills 
· Ability to develop and assess process flows, procedures, processing guidelines 
· Ability to navigate and obtain evaluation information simultaneously from various systems 
· Ability to execute multiple assignments with minimal oversight 
· Ability to effectively partner & communicate with other Branch Supervision Managers in other 15 regions 
· Proficient Microsoft Office skills, including Excel, Word and PowerPoint 
· Maintains the highest standards of integrity, respect, and confidentiality 
· Series 7 Required. Series 24 &/or Series 8 &/or Series 9-10 Required. Series 65 and Insurance License a plus 
· 50% travel within Region 

Ensure all delegated supervisory responsibilities have been completed and reported for all registered employees within the assigned Regional Market. 

Examples are included, but not limited to the following: 

Review and sign off of incoming and outgoing correspondence 
Review and sign off - Complaint Log, Gift and Entertainment Log, Checks and Securities Log and Signature Guarantee Log 
Perform email review via the Orchestria Surveillance system 
Perform Signature Guarantee Stamps 
Review and approve all Outside Business Activities 
Review and sign off of Registered Representative files 
Ensure employees are properly registered and current on continuing education and firm element requirements and interface with Registration and Licensing to resolve issues and tracking. Also provide RegEd training 
Provide orientation training for new Registered Representatives i.e. U4 filing, RegEd, complete disclosure documents, RR file set up, as well as fingerprinting for new Registered and Associated persons. 


Email resume in Word to TheBigGameHunter@cisny.com. Please include the job code for the position with your resume. 

NO RELOCATION. NO VISA TRANSFERS. NO OVERSEAS RESUMES. NO 3RD PARTIES. 

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