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Aegon · 9 hours ago

Regional Manager - Branch Supervision

United States

Full-time

Remote

Mid, Senior Level

$67K/yr - $87K/yr

5+ years exp

Aegon is seeking a Regional Manager - Branch Supervision to oversee the securities activities of Branch Office Supervisors and Registered Representatives in a designated region. This role involves providing supervision, guidance, and training, as well as ensuring compliance with company policies and regulatory requirements.

Asset ManagementAuto InsuranceFinanceHealth InsuranceInsuranceLife InsuranceRetirement

Responsibilities

Provide direct supervision of Branch Office Supervisors and Registered Representatives for broker dealer and investment advisory functions; provide supervision, guidance, advice, and training

Maintain files required by the WSPs to be maintained at the branch location for each Branch Office Supervisor and Registered Representatives

Assist in the creation of new branch offices and the development of existing offices

Participate in regulatory examinations within the assigned region

Review and accept or deny requests for non-registered locations

Monitor the activities of Branch Office Supervisors, Registered Representatives and NRLs within the region in accordance with the Firm’s written supervisory procedures

Monitor the performance of Branch Office Supervisors to ensure they are able to properly supervise the number of Registered Representatives assigned to them

Designate, reviews and remove Branch Office Supervisor status as needed

Makes decisions for acceptance or denial of new applicants and, when necessary, for the suspension or termination of Branch Office Supervisors and Registered Representatives

Visit branch offices periodically to review and monitor for adherence to company policies and procedures

Review annual audit report and implement procedural changes to ensure that identified deficiencies are not repeated

Reviews written correspondence and communications with the public in accordance with company policies as needed

Review and approve, or deny, outside business activities and private securities transactions requested by Branch Office Supervisors and Registered Representatives

Perform final review and acceptance of Form U4s for applicants, including interviews with the sponsoring Branch Office Supervisor and/or applicant, and/or requests for additional supporting documentation. Approve/recommend Heightened Supervisory Agreement (HSA), or refer to Special Review Committee

Implement, monitor, and dissolve HSAs within the region

Review and accept, or deny, requests from Branch Office Supervisors for assignments or reassignments of Registered Representatives

Monitor Registered Representatives compliance with Firm and regulatory continuing education requirements

Review and monitor Branch Office Supervisor and Field Representative completion and compliance with the Firm’s annual compliance meeting and Firm element requirements

Review and monitor Branch Office Supervisor and Field Representative emails to ensure compliance with Firm policies

Handle calls and inquires during regions office hours to ensure inquiries are resolved satisfactorily, including incoming calls on the RBM call line

Refer to and provide input to the Compliance Division on regulatory violations, sales practice improprieties, or actual or potential violations of Firm policies and/or regulatory requirements as needed

Periodically attend public events conducted by TFA Field Representatives to ensure compliance with Firm policies

Create, facilitate and promote Firm training programs as deemed necessary by management

Perform additional supervisory and compliance functions as needed

Qualification

FINRA Series 6FINRA Series 26Compliance knowledgeSecurities industry experienceTraining experienceMS Office proficiencyOrganizational skillsCommunication skills