Field Operations & Supervisory Manager

The Field Operations & Supervisory Manager (FOSM) provides leadership to the Field Operations & Supervisory Associate(s) while also serving as a first-line supervisor for assigned Equity Services, Inc. (ESI) Registered Representatives (RR), Investment Advisor Representatives (IAR), and Non-Registered Fingerprinted (NRF) staff throughout the country. 

This position is responsible for maintaining ongoing relationships with assigned personnel to educate, guide, and support their compliance responsibilities. The FOSM will serve as the supervisory point of contact for operational procedures to help ensure compliance with all applicable ESI and industry requirements.

$95,000 - $110,000 yearly

The FOSM will have primary responsibility for providing day-to-day supervision, including:

• Maintenance of required Field Office of Supervisory Jurisdiction (OSJ) books and records
• Training based on RR busi...