Wealth Management Director of Field Supervision

RSM US LLP - Minneapolis, MN3.6

Full-timeEstimated: $130,000 - $170,000 a year
The Director of Field Supervision is responsible for establishing, enhancing and overseeing WM’s field supervision program. This role is responsible for protecting our clients as well as the firm from financial, regulatory, and reputational risk by ensuring advisor personnel conduct themselves in accordance with best practices in the industry, regulatory standards and RSM internal policies and procedures. The Director of Field Supervision reports directly to the Chief Operating Officer and works closely with WM operations, compliance and the WM leadership team.

Essential Duties:
Lead the development and implementation of supervision for operational and compliance processes and procedures to support Wealth Management’s current and future investment advisory programs

Establish policies, procedures and controls to insure proper review and approval of new client account documentation including Investment Policy Statements, investment recommendations, 1035 exchanges into an IA annuity and financial plans

Provide leadership and oversight to field supervision managers

Support the new advisor hiring process; provide compliance, operations and organization training to effectively on-board new employees

Drive initiatives related to supervision, compliance and business risk, including implementation and education. Identify and implement technology tools to support field supervisory responsibilities

Serve as point person for questions arising from wealth advisors. Assist advisors with providing advice and service within our defined definitions and guidelines

Other duties as assigned

Minimum Qualifications:
Bachelor's degree required; MBA, CPA, CFP preferred

Strong Microsoft Office skills, strong written and oral communication skills

Effective organizational and managerial skills

Proven management and decision making skills

Self-driven and highly motivated

Extensive knowledge of investment advisory regulations

10+ years of sales supervision experience in a regulatory environment

Strong knowledge of investments and operations

Demonstrated ability to influence behavior and manage, change, conflict and multiple priorities.

Exceptional client service attitude

Proven ability to influence and collaborate at all organizational levels

Ability to work effectively in a complex, rapidly changing environment

High emotional intelligence to recognize and develop talent

Demonstrated strategic and innovative problem solving skills

Ability to interpret data and research items through conclusion

You want your next step to be the right one. You've worked hard to get where you are today. And now you're ready to use your unique skills, talents and personality to achieve great things. RSM is a place where you are valued as an individual, mentored as a future leader, and recognized for your accomplishments and potential. Working directly with clients, key decision makers and business owners across various industries and geographies, you'll move quickly along the learning curve and our clients will benefit from your fresh perspective.

Experience RSM US. Experience the power of being understood.

RSM is an equal opportunity/affirmative action employer. Minorities/Females/Disabled/Veterans.