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.Responsibilities:The FOSM will have primary responsibility for providing day-to-day supervision, including:Maintenance of required Field Office of Supervisory Jurisdiction (OSJ) books and recordsTraining based on RR business needs and opportunitiesProactive communication of all applicable ESI and industry requirementsOn-site supervisory office inspections of assigned ESI branch offices/non-branch locations as prescribed, with follow-up and resolution of audit findingsRegular interaction with RRs to proactively address potential compliance issues and minimize riskInvestigation of potential compliance or sales practice issues, taking appropriate corrective action as needed in collaboration with Compliance and other internal business unitsActing as a conduit of information between the Home Office and field members to problem-solveVetting of new recruits, including supervisor review and sign off on related licensing and registration paperwork, and compliance and regulatory reporting requirements such as branch office disclosure, office sharing arrangements, outside business activities, etc.Principal review and sign off for all assigned supervisory reviews, such as weekly blotter and correspondence, retail communications, seminars and public speaking events, gifts, incentives, etc.Build an effective team, drive team member engagement, and develop talentResponsible for staffing, training, employee development, goal setting and total performance managementDemonstrated ability to empower, influence, and make connections between diverse sets of individualsCollaborate with a wide variety of internal and external parties to effectively solve issuesEstablish and maintain strong working relationships with a focus on delivering exceptional customer serviceDevelop and maintain productivity and quality metrics; identify and action continuous improvement opportunitiesEnsure that the business area is following established processes; monitor and maintain compliance-based requirementsResponsible for coordinating the completion of all field exams as requiredOther supervisory responsibilities as assignedThe FOSM will also serve as the first line operational contact for RRs, providing support that may include:Business submission requirements and workflow best practicesApproved Firm technology tools, platforms, and requirementsAbility to implement and enforce regulatory and supervisory-based decisionsProactive collaboration and service-based responses for escalated itemsQualifications:Bachelor's degree or relevant field experienceStrong oral and written communication skills to effectively communicate with the field and the home office at all organizational levelsPassion for coaching and developing a teamThree years or more of direct broker-dealer supervisory experience, investment advisory, and/or compliance experience a plus.Strong presentation skillsDetail-oriented with demonstrated project management skillsAbility to work independently, manage multiple priorities, and meet deadlines in a fast-paced environmentKnowledge of insurance and annuities, mutual funds, general securities, and other investment products, markets, and distribution; previous experience with insurance-affiliated entities a plusFIRNA Series 7 24 required, Series 53 desirableExperience with all Microsoft applications, particularly Word, Outlook, Excel, and PowerPoint; knowledge of social media platforms is a plusAbility to travel 20-30% of the timeAbout Company:At Lakeshore Financial, our Financial Representatives and Advisors take pride in nurturing strong and meaningful connections with a diverse range of individuals. Our services are designed to cater to specific needs, offering comprehensive financial strategies or focusing on particular areas that require attention.What sets us apart is our commitment to providing a unique and all-encompassing approach to evaluating and developing financial wellness strategies tailored to each individual's circumstances. We genuinely care about clients' well-being and want them to experience our dedicated and holistic method.To ensure the highest quality of guidance, our team follows a comprehensive process. By leveraging this approach, we strive to deliver exceptional results and empower clients to achieve their financial goals with confidence.