Description
Directly supervise and coordinate the activities of stock brokers and financial advisors, overseeing client acquisition, trading, and account servicing. Ensure adherence to securities regulations and firm policies; may manage budgeting, staffing, and branch operations.
- • Review and approve new accounts, margin/options permissions, and advisory agreements.
- • Analyze books of business and territories to set quotas and growth plans.
- • Conduct trade blotter and exception reviews for suitability, best execution, and Reg BI compliance.
- • Maintain required supervisory records of trades, communications, and client complaints.
- • Coordinate marketing campaigns and client events; ensure materials have compliance approval.
- • Oversee KYC/AML procedures, disclosures, and accuracy of account documentation.
- • Visit branch offices and key clients to promote services and gather market insights.
- • Keep records of recruiting, staffing, and expense budgets; manage headcount plans.
- • Direct and supervise brokers and support staff engaged in prospecting, trading, and client service.
- • Listen to and resolve client complaints regarding trades, accounts, or advisor conduct, escalating per policy.
- • Monitor broker performance against production, AUM, and client growth goals.
- • Hire, train, and evaluate brokers and support staff; track licensing and continuing education.
- • Confer with firm leaders and compliance to develop sales strategies, expand markets, and promote the business.
- • Provide guidance on complex trades, proposals, and product suitability.
- • Plan schedules and assign territories, books, and coverage responsibilities.
- • Attend firm meetings and coordinate with research, trading, operations, and compliance.
- • Prepare production, AUM, pipeline, and budget reports for management.
- • Recommend or approve commission and advisory fee schedules within firm policy.
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Marketing & Sales
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O*NET occupational data (work activities, skills, knowledge).
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Last reviewed: Jan 2026
