Sales Supervision Mgr
TalentAlly · Charlotte, NC
- On site
- Full-time
- $103,700 / year
- Charlotte, NC
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Subject: Interested in the Sales Supervision Mgr role at TalentAlly
Hi Morgan — I came across the Sales Supervision Mgr opening and wanted to reach out directly. I've spent the last few years doing exactly this kind of work, and TalentAlly stood out because…
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Job highlights
- Review advisor marketing materials for compliance.
- Provide feedback and coaching to advisors.
- Stay updated on industry regulations and trends.
- Collaborate with internal teams and leaders.
- Ensure fiduciary and best interest standards.
About the role
About Our Company
We're a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. Our team of 22,000 people across 19 countries, serves more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.
Job Description
Our team has a number of key responsibilities to support our advisors service model and growth through marketing and communications in a fun and flexible environment. The role of the Sales Supervision Manager - Advisor Created Material Review (ACMR) will be focused on reviewing advisor created marketing materials (print ads, videos, seminar & event related materials, websites, social media) and other types of advisor-generated retail communications.
Success in this role includes providing advisors with feedback, coaching and collaboration on creating compliant marketing materials. In addition, the Sales Supervision Manager - ACMR will be aware of trends in the industry and educate advisors, leaders and business partners as needed.
Key Responsibilities
- Complete supervisory analysis using risk-based judgement, procedures, and job aids. This usually results in approval or rejection of new applications or determination of appropriateness of transactions or other business including communications with the public.
- Communicate with advisors, field registered principals and field leaders regarding results of supervisory activity. Involves working closely with advisors to develop an understanding of recommendations made to clients and to reasonably validate fiduciary and best interest standards are met.
- Support the team's efforts to innovate and improve the effectiveness and efficiency of processes. Evolve day-to-day processes to streamline work and focus on issues that matter most.
- Keep updated on changes in the regulatory environment and competitive landscape including new regulations and product offerings.
- Represent the firm and functional processes in response to examinations, investigations, and other regulatory matters, which may include on-the-record engagements with regulators or providing testimony in arbitration matters.
- Participate in maintaining the overall health of the team including establishing individual development goals and engagement in team activities.
- Collaborate with peers to share best practices and incorporate efficiencies developed in other areas.
Required Qualifications
- Bachelors degree or equivalent.
- 5 - 7 years relevant experience required.
- Relevant experience includes financial services, customer service, communications, education or other where you have built the skills needed to be successful in this role.
- Active SIE (Securities Industry Essentials)
- Ability to obtain Series 7 within 120 days and Series 24 within 90 additional days required; Series 63 or 66 or the ability to obtain is also required.
Preferred Qualifications
- Problem solving and analytical skills; ability to effectively analyze complex issues.
- Ability to consistently exercise good judgment when making decisions on complex matters that don't have clear answers.
- Strong written and verbal communication skills including ability to deliver unfavorable messages.
- Ability to consistently influence positive behavior through coaching and education.
- Ability to document activity in a fact-based and comprehensive manner.
- Ability to work effectively and efficiently both individually and in a team environment.
- Ability to manage workload, across multiple tools and processes, including prioritization and monitoring of pending cases.
Visa Sponsorship
Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).
In-Office Collaboration
We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders - clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.
Base Pay Salary
The estimated base salary for this role is $ 87,400-$ 120,200/ year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.
Full-Time/Part-Time
Full time
Exempt/Non-Exempt
Exempt
Job Family Group
Legal Affairs
Line of Business
AWMBD Advice and Wealth Mgmt and Business Development
Key skills/competency
- Sales Supervision Manager
- Financial Services
- Marketing Material Review
- Regulatory Compliance
- Advisor Coaching
- Risk Management
- Communication Skills
- Securities Licenses
- Problem Solving
- Industry Trends
Skills & topics
- Sales Supervision Manager
- Financial Services
- Marketing Compliance
- Retail Communications
- Advisor Support
- Regulatory Analysis
- Securities Licensing
- Risk Assessment
- Client Relations
- Team Collaboration
- SIE
- Series 7
- Series 24
- Series 63
- Series 66
- Ameriprise Financial
- Columbia Threadneedle
- RiverSource Insurance
- Finance
- Management
- Compliance
- Sales
How to get hired
- Tailor your resume: Highlight your 5-7 years of financial services experience, SIE, and Series 7/24/63/66 certifications.
- Showcase compliance skills: Emphasize your experience in reviewing marketing materials and understanding regulatory environments.
- Demonstrate communication and coaching abilities: Provide examples of how you've coached advisors and delivered feedback.
- Understand the company culture: Research TalentAlly's client-centric approach and collaborative in-office environment.
- Prepare for licensing: Be ready to discuss your plan to obtain Series 7 and Series 24 licenses.
Technical preparation
Behavioral questions
Frequently asked questions
- What are the key responsibilities of a Sales Supervision Manager at TalentAlly?
- The Sales Supervision Manager at TalentAlly reviews advisor-created marketing materials, provides feedback and coaching to advisors on compliance, stays updated on industry trends and regulations, and collaborates with internal teams to ensure best practices and adherence to fiduciary standards.
- What specific licenses are required for the Sales Supervision Manager role at TalentAlly?
- A Bachelor's degree or equivalent experience is required, along with an active SIE (Securities Industry Essentials). Candidates must also be able to obtain a Series 7 license within 120 days and a Series 24 license within 90 additional days, with a Series 63 or 66 also being required or obtainable.
- Does TalentAlly sponsor visas for the Sales Supervision Manager position?
- No, TalentAlly does not sponsor visas for this role. Applicants must have valid work authorization that does not require future visa sponsorship in the United States.
- What is the work arrangement for the Sales Supervision Manager position at TalentAlly?
- This is a hybrid role. Employees are expected to work in the office at least four days per week, with one day per week flexibility to work from home. Specific requirements may be discussed during the hiring process.
- What is the salary range for the Sales Supervision Manager role at TalentAlly?
- The estimated base salary for this role is between $87,400 and $120,200 per year. Actual compensation may vary based on experience, skills, and location, and the role may be eligible for variable pay bonuses.
- How does TalentAlly support employee development in the Sales Supervision Manager role?
- TalentAlly supports employee development through establishing individual development goals, engaging in team activities, and fostering collaboration with peers to share best practices and incorporate efficiencies. Continuous learning about industry changes is also a key aspect.
- What kind of experience is considered relevant for the Sales Supervision Manager at TalentAlly?
- Relevant experience includes financial services, customer service, communications, or education. This experience should demonstrate the skills needed for success in reviewing marketing materials, understanding regulations, and coaching advisors.
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