State Licensed AVP Manager

A company is looking for an AVP, Regional Lead.

Key Responsibilities

Support Vice President and Regional Supervisory Principals with escalations and maintain relationships with Advisors and Field Management

Lead departmental initiatives to create efficiencies, streamline processes, and improve risk mitigation capabilities

Monitor workload and staffing through metrics and reporting to ensure adherence to service level agreements

Required Qualifications

Undergraduate degree in Business, Accounting, Finance, or related discipline

A minimum of 7-10 years' experience in supervision, compliance, and / or regulatory matters

Series 7, 9 and 10 (or Series 24, 4 & 53); Series 66 (or S63 and S65)

Prior leadership / team management experience preferred