About this role
As the Supervision Manager, you’ll be responsible for overseeing the supervisory framework of the Registered Investment Advisor (RIA) business and Fixed Insurance Business (FIB). This role will ensure adherence with SEC and state regulations while supporting advisors and brokers in delivering high-quality client service. This role leads supervision processes, monitors advisor and broker activity, and partners with Compliance and Operations to mitigate risk and strengthen supervisory practices.