RIA Sales Supervision Manager
Company: VirtualVocations
Location: Vista
Posted on: May 24, 2025
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Job Description:
A company is looking for a Manager, RIA Sales Supervision to
oversee the RIA Supervision Team and ensure compliance with
regulatory requirements.
Key Responsibilities
Lead and develop a team of Supervision Principals for monitoring
RIA and B/D activities
Evaluate and enhance supervision tools and technology for improved
efficiency
Prepare and deliver reports to senior compliance leadership
regarding key metrics and findings
Required Qualifications
Bachelor's degree in finance, accounting, business, or a related
field
4-7 years of experience in investment adviser compliance or
supervision
Previous management or leadership experience
Strong understanding of RIA regulations and fiduciary
responsibilities
FINRA series 7 and 24 licenses required
Keywords: VirtualVocations, Upland , RIA Sales Supervision Manager, Executive , Vista, California
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