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The Sales Supervisor will operate within a home office based supervisory team, working with and overseeing a Trade Supervisor, within an assigned region. This position reports to the Director of Sales Supervision. The individual is responsible for ensuring that the Advisors within the region are maintaining compliance with both regulatory standards and firm policies and procedures.
ESSENTIAL DUTIES AND RESPONSIBILITIES: To perform this job successfully, individual must be able to perform each essential duty satisfactorily:
- Responsibility for the supervisory review of new accounts and trades.
- Responsibility for the supervisory review of written and electronic correspondence.
- Conduct field office training as required.
- Engage and resolve escalated trade and other issues as they arise.
- Research and prepare draft responses to regulatory and legal enquiries.
- Strengthen relationships with field Advisors and Representatives.
- Have excellent understanding of compliance issues, firm/regulatory policy, and Kestra products.
- Other duties assigned by the Director or VP of Sales Supervision.
- Excellent organizational skills and strong attention to detail.
- Strong communication, conflict resolution and presentation skills.
- The qualified candidate will work in a collaborative team environment but be responsible for individual results.
- Proficient with Windows applications such as Word, Excel and Outlook.
- Familiarity with paperless office concept, document scanning and contact management software.
- Bachelor's degree and/or 5-7 years industry experience, most recently compliance experience, sales management, and/or risk management.
- Series 7, 63 and 24 required.
- Series 53, 65 and Group 1 Life and Health required within 3 months of hire.
A brand new state of the art building in Southwest Austin with a basketball court, volleyball Court, baseball field, walking trails, unlimited coffee, tea, and sparkling water. Rotating food trucks, employee events, happy hours and more!
Full health, vision, dental, 401(k) plans along with a host of voluntary plans such as car insurance, legal services, and more.