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Market Supervision Manager - Ohio Valley Market

Cincinnati, Ohio

Job Description:

Deliver and manage the client service experience for the Market

Resolve problems to improve the client experience.

Share the responsibility for the transition of recruits from the competition.

Partner with the OMT to resolve client complaints regarding operations/services issues received from clients or regulators.

Utilize PMAC to facilitate the transition of FA accounts as well as opportunities to increase client assets.

Partner with other OMT in the management and development of the Branch Office Support staff including Operations Employees and the Client Associates

Work with other OMT in identification, follow up, escalation and reconciliation of compliance and other risk matters, and partnering with Centralized Supervision and Legal when appropriate.

Facilitate the supplemental compensation contract process between the Financial Advisors and Client Associate as directed

In partnership with OMT, responsible for reassigning accounts.

Monitor, assess, execute and address client needs in an effort to promote overall service satisfaction, retention and acquisition.

Develop a network of various service and operational partners to help drive client satisfaction opportunities.

The ideal candidate is a self-motivated, client centric individual who has:

Securities Industry Essentials Exam (SIE), Series 7 Topper, Series 66, 9, 10 Licenses, or their equivalents (Required or able to obtain in a specified time period)

If Unlicensed, must Pass the AP Reasoning Assessment

Strong client service and communication skills

Minimum 3 - 5 years financial services experience required

Knowledge of regulatory, supervisory and corporate policies and procedures

Investment product knowledge (i.e., 401K, Options, Annuities, Tax, Retirement Plans, Money Funds, Mutual Funds, Liabilities, Margin, Trust Operations, etc.)

Good organizational skills, including the ability to effectively plan, organize and prioritize tasks

Previous experience managing a team of at least 10 including the ability to monitor, influence, negotiate, supervise and delegate a plus

Strongly preferred:

Bachelor’s degree or equivalent work experience


1st shift (United States of America)

Hours Per Week: 


Learn more about this role

Full time


Manages People: No

Travel: Yes, 10% of the time


Talent Acquisition Contact:

Referral Bonus:

Street Address

Primary Location:
5905 E GALBRAITH RD, OH, Cincinnati, 45236