Broker-Dealer Sales Supervisor & Compliance Lead

Insigneo; Miami (FL); On-site; USD 70,000 - 90,000; Full time

Job summary

Insigneo is seeking a Sales Supervisor to provide day-to-day supervision and guidance to Advisors/Brokers. The role includes ensuring compliance with sales processes and supporting the sales team in achieving their goals.

The ideal candidate should have a Bachelor’s degree in business administration, a minimum of three years of experience in compliance or sales supervision, and be bilingual in English and Spanish. Required licenses include Series 7 and Series 24.

Qualifications

• Minimum three years of work-related experience, including two in compliance or sales supervision.
• Series 7 and Series 24 licenses are mandatory.
• Advanced knowledge in MS platforms/software.

Responsibilities

• Provide day-to-day supervision and guidance to Advisors/Brokers.
• Ensure compliance with sales processes and regulations.
• Monitor sales activities to identify compliance issues.
• Work with Senior Relationship Officers on sales activity resolutions.

Skills

Bilingual in English and Spanish

Excellent organizational skills

Critical thinking skills

Attention to detail

Education

Bachelor’s degree in business administration or related field

Tools

MS platforms/software

Job description

Insigneo is seeking a Sales Supervisor to provide day-to-day supervision and guidance to Advisors/Brokers. The role includes ensuring compliance with sales processes and supporting the sales team in achieving their goals.

The ideal candidate should have a Bachelor’s degree in business administration, a minimum of three years of experience in compliance or sales supervision, and be bilingual in English and Spanish. Required licenses include Series 7 and Series 24.