Supervision Manager Resume Sample
Faustino O'Hara
74517 Myrtis Loop,
Los Angeles,
CA
+1 (555) 201 7365
Work Experience
Production Supervision Manager
12/2015
-
PRESENT
Houston, TX
- Review all new account and foreign account paperwork associated with IFA account opening. Coordinate review and approval of paperwork with PCG Foreign Account Specialist, as well as IFA’s complex management team as needed
- Review and approve foreign travel requests made by IFA candidates to foreign markets. This review includes ensuring that it matches with markets that the IFA has been approved for and also that we have received attestation that the IFA(s) has reviewed all applicable foreign market Do’s and Don’ts
- Review and provide feedback to RBCWM’s anti-money laundering surveillance team around any transactional inquiries associated with IFA foreign account business
- Coordinate efforts and provide periodic feedback to appropriate complex management staff regarding IFA foreign account activities, so direct supervisors have clear picture of IFA’s domestic and international business
- Ensure, in the Director - Central Supervisory Unit’s absence, that Central Supervisory Unit office security measures are implemented and adhered to
- Supervision of the Central Supervisory Unit’s support staff
- Ensure the effective communication of policy and procedural changes (including specific international policies and procedures) and other issues that impact the staff’s ability to effectively perform their jobs
- Supervises, monitors, and tracks Regional Manager’s activities as they relate to performing their supervisory responsibilities as well as their activities on behalf of TFA
- Leadership role in driving enhancements to CWM’s Fiduciary governance framework, agenda and management reporting
Centralized Supervision Manager
07/2009
-
06/2015
Boston, MA
- Assisting our clients in the implementation of prudential reforms such as the Capital Requirements Regulation and Directive (‘CRR/CRD IV’), the Banking Recovery and Resolution Directive (‘BRRD’)’ and related banking industry transformations
- Advising our clients in preparing the new Supervisory Review and Evaluation Process (‘SREP’) and the Single Supervision Mechanism (‘SSM’)
- Ongoing development and enhancement of CWM tools, metrics and reports to better manage the risks associated with CWM’s business activities
- Pro-actively ensures compliance with applicable industry rules (State, NASD & SEC) and platform policies and procedures as they apply to account trading activity of branch managers clients’ accounts by monitoring branch manager activity, reporting findings and managing concerns in a professional and educational manner
- Provide leadership within and across teams/business as well as motivate and lead others
- Develop process improvements and efficiencies within Supervision and Controls
- Experience developing business requirements for projects, reporting, technology initiatives or other business procedure related documents
- Outstanding written and verbal communication skills, time management and organizational skills
- Upervision experience in industry
Regional Manager, Branch Risk / Supervision
11/2003
-
02/2009
Chicago, IL
- Excellent relationship management skills (negotiating, collaborating, influencing)
- Interest in creating change through process improvements and streamlining functions
- Advanced knowledge of Microsoft Word, Excel, Outlook, Access, and PowerPoint
- Adapt to changing business conditions
- Manage multiple projects in a fast paced, team environment
- Demonstrated ability to prioritize business needs
- Active and valid Series 7 and 63 is required
Education
Western International University
1998 - 2003
Bachelor's Degree in Finance
Professional Skills
- Strong written and verbal communication skills, including strong presentation skills, demonstrated by comfort in communicating at all levels of management
- Leads projects utilizing strong project management skills
- Time management, organization, and prioritization skills; ability to work under intensive deadlines
- Highly organized and efficient at prioritising tasks
- Investment casting experience is an asset
- Strong understanding of supervisory processes and able to identify areas of improvement
- Strong knowledge and understanding of compliance and regulatory requirements applicable to the brokerage/investment advisory industry
How to write Supervision Manager Resume
Supervision Manager role is responsible for manufacturing, training, leadership, retail, finance, securities, litigation, security, compensation, trading.
To write great resume for supervision manager job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Supervision Manager Resume
The section contact information is important in your supervision manager resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your Supervision Manager Resume
The section work experience is an essential part of your supervision manager resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous supervision manager responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular supervision manager position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Supervision Manager resume experience can include:
- Experience building and managing effective working relationships with business partners
- A strong aptitude for time management, organization, and prioritization
- Recommends promotions, salary actions and makes effective hiring and personnel decisions
- Active and valid Series 9/10 or 24 is required
- Experience of Pattern Based Supervision in financial services
- Excellent knowledge of Schwab products and services
Education on a Supervision Manager Resume
Make sure to make education a priority on your supervision manager resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your supervision manager experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in Supervision Manager Resume
When listing skills on your supervision manager resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical supervision manager skills:
- Works effectively with all levels of the organization
- Effectively plans, communicates and executes
- Prioritize tasks and project management
- Active and valid Series 9/10 or 24/53/4 is required
- Good at MS soft and SAP System, basic knowledge of QC Procedure, and Lean Production
- Aviation repair experience
List of Typical Experience For a Supervision Manager Resume
1
Experience For Production Supervision Manager Resume
- A comprehensive knowledge of annuity products and the financial services industry, including both traditional broker/dealer and independent broker/dealer models
- Strong written and verbal communication skills, including the ability to communicate suitability requirements and regulatory changes to all levels of business partners and management across the firm
- The ability to provide valuable and applicable input in order to influence the outcome of strategic initiatives and offer assistance towards the achievement of department goals
- A proven track record of demonstrating effective application of supervision and oversight capabilities and an ability to operate at both strategic and tactical levels
- Evaluates team skills and assists with building team skill sets to meet business needs
- Active and valid Series 7, 66 (63/65), and 8 (9/10) required
- Experience in a production environment
- Reviews internal processes to ensure effective team function
2
Experience For Centralized Supervision Manager Resume
- Evaluates team member performance, provides coaching and performance feedback broadly to others in the Department, and reviews and approves the work of others
- Work with other Production Supervision Managers on process improvements that focus on achieving Sales / Inventory / Service / Quality / EHS improvement metrics
- The ability to work under intensive deadlines in a fast paced environment
- Reviews and approves assigned E-comm. activities
- Teaches pertinent Supervisory Classes for the Compliance Certification Track
- Assists other reviewers/cross trained in other departmental reviews
- Develops new procedures and best practices for workflows
3
Experience For Regional Supervision Manager Resume
- Acts as the point person for other departments with regards to E-comm. Supervisory Reviews
- Attends Regional meetings for assigned region(s)
- Reviews escalations from other areas and determines and addresses as applicable or escalates to the RSO
- Execute the production plan to deliver product on the schedule
- Manage EHS risks to ensure people safe in site
- Discipline Management in Shift Periods
- Implement EHS and quality improvement activities
- Promote and implement GE beliefs/Integrity mindset in site
4
Experience For Regional Manager, Branch Risk / Supervision Resume
- Coordinates team member activities with other leaders within the Department and System
- Leads and contributes to teamwork within the business unit and across the department
- Works on complex issues in which analysis of situations and data requires an evaluation of various factors
- Implements operational processes that assist with risk identification and management
- Reviews industry trends in relevant technical or professional knowledge areas and determines applicability to the team functions
- Develops and maintains ongoing relationships with staff management within the District, Board of Governors, supervised firms and other Reserve Banks or regulatory agencies
5
Experience For Ccb-supervision Manager Resume
- Coaches and develops staff and ensures a productive performance management process
- Reviews and approves assigned Outside Business Activities as assigned by the RSO
- Acts as the point person for other departments with regards to Supervisory Reviews
- Arrange for / provide adequate staffing to meet the production schedules set by production planning consistent with the on site budget / current business levels
- Own / drive Environmental Health & Safety (EHS) culture
- Support, encourage and facilitate Lean Manufacturing principles (including the Lean Connections) by providing adequate time for training and for project teams to accomplish continuous improvement projects
- Work to maintain and further develop a Visual Workplace, including support for a 5-S program, active project boards, performance measure charts, and training program status boards
6
Experience For Operational Risk Manager Business Control & Supervision AVP Resume
- Demonstrate leadership in communicating business goals / programs / processes for our site, and possess the experience and expertise to solve problems
- Contacts are under guidance and / or geared towards specifying activities, planning of activities and giving explanations on technical issues
- Support all company workplace policies, including attendance and safety objectives
- Work with HR to develop a performance oriented work environment, encompassing timely performance appraisals; 30, 60, and 90 day reviews for new employees; timely disciplinary action when warranted; and compensation programs which encourage employees to excel
- Oversight and management of front-line manufacturing employees
- Provides coaching and guidance on policies and procedures in order to promote risk awareness and a compliant environment
- Works together with people from the business unit to resolve technical issues on products
- Selects, hires and trains personnel. Responsible for the planning, coordination and direction of all production operations to ensure maximum throughput and quality
7
Experience For Ccb-senior Fiduciary Supervision Business Manager Fiduciary Supervision Resume
- Experience in a production environment
- Member of the Regional Supervision management team and participates in all the Regional Supervision management meetings regarding strategies, advisor communications, policies and procedures, etc
- Primary responsibility for all risk, supervisory, and compliance function for respective Regional Supervision management team location(s) – works with the Branch Managers and Regional Supervision Officers to ensure appropriate supervisory coverage is maintained at all times
- Ensures Regional Supervision Officers are aware and involved in managing supervisory and risk management issues through regular meetings, reporting/metrics, and escalations
- Facilitates any supervisory inquiry or process that requires escalation from the field
- Acts as a point of escalation for the central supervision centers of expertise and works with these areas to resolve any supervision issues with advisors and/or field management in their respective regions
- Provides review and approval for any policy exceptions or branch processes that require senior management approval within the Regional Supervision management team
8
Experience For Assistant Manager, Central Supervision Resume
- Interacts with the central review team to share trends and patterns and discuss FA/Client visits -- Builds intelligence on risk in regard to clients and FAs within their region
- Performs a quality check on a portion of the supervisory issues that are remediated and documented for their by either the central supervision centers of expertise or local branch management
- Conducts “mock audits” of the branches aligned to their Regional Supervision management team to ensure compliance with firm and regulatory policies
- Supports the preparation for and response to internal or regulatory audits and tracks identified issues by audit, regulators, and self assessments to ensure that actions are taken and issues are remediated
- Liaises with the Legal and Compliance Division with customer complaints and litigation
- Ensure proper procedures are in place for the Regional Supervision management team to ensure that approvals are handled appropriately and timely -- Monitors and implements consistent enterprise procedures to manage all facets of risk, including data security
9
Experience For Manager Complex Product Supervision Resume
- Experience in a production environment
- Management experience
- Facilitates regular and consistent communication of Raymond James RJFS policies and other regulations
- Employees’ Performance management
- Provide direction to support needs of kitting, stockroom and supermarket areas, including manpower, work assignments, scheduling of overtime, training, cross-training, and job rotation
- Maintain Warehousing and Materials operations by initiating, coordinating, and enforcing program, operational, and personnel policies / procedures
- Control inventory levels by conducting cycle counts; reconciling with ERP / Mfg. System
10
Experience For Construction Supervision Manager Resume
- Participate in planning and execution of yearly physical inventory
- Create daily and weekly metrics reports and presentation
- Own responsibility of and drive Environmental Health & Safety culture (EHS)
- Ensure efficient and optimized space utilization
- Trains new associates
- Series 66 required
List of Typical Skills For a Supervision Manager Resume
1
Skills For Production Supervision Manager Resume
- Active and valid Series 9/10 required
- Assessing the Accounting and Finance Department’s internal control environment
- Understanding the inherent risks associated with complex accounts, higher risk client relationships, and exception requests
- Providing daily supervision of designated activities
- Providing advice and guidance on relevant firm policies
- Six Sigma training or equivalent Quality training / certification
- Monitors and keeps up to date with regulations regarding trading activity in client accounts and applies them accordingly
- Acts as a mentor to new associates by sharing resources and encouraging their growth
2
Skills For Centralized Supervision Manager Resume
- Be responsible for reviewing and maintaining department expense budgets and for explanations of all variances
- Be able to correctly understand the drawing and technique in assembly process
- Conducts testing of new alerts/triggers and procedures
- Builds relationships with advisors in the field fostering a positive relationship
- Assists RSO in making calls to advisors to resolve issues/educate on procedures
- Implement daily standard operations & problem solving activities: (OEE, OLE, 5S, etc)
3
Skills For Regional Supervision Manager Resume
- Conducts testing of new alerts and procedures
- Develop production line manufacturing plans consistent with the goals and objectives of the operations department annual budget plan
- Creativity in solution design and implementation
- Interact appropriately and confidently with Senior Management
- Serve as a key contact for internal departments, such as Operations, Service Center, Legal and various departments across Governance, Risk, and Compliance (GRC)
- Anticipate the needs of LPL Financial and the GRC organization in order to be able to define next steps with projects and other functions and be able to independently drive/execute projects
- Identify specific regulatory issues, the application of regulatory requirements, and provision of advice on these rules and create and maintain internal policies, controls, etc
- Upervision experience
- Active and valid series 9/10 or 8 required
4
Skills For Regional Manager, Branch Risk / Supervision Resume
- Identify and report significant gaps in policy, procedure and controls to management, while offering corrective actions for consideration and implementation
- FINRA Series 7 and 66 is required
- Combine knowledge of the industry, compliance and regulatory requirements, supervision and the business model to draw strategic conclusions to issues
- Active and valid Series 7, and 8 (9/10) required
- Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels including branch managers/FAs
5
Skills For Ccb-supervision Manager Resume
- Supervise the central supervision operations manager position (if applicable) and central supervision operations associate(s) and ensure that all international and other central cage operations functions are performed in a timely and efficient manner
- Maintain a working knowledge of, and actively monitor compliance with, all required firm, complex, branch and internationally specific operations-related policies and procedures
- Actively ensure that the firm’s anti-money laundering policies and procedures are followed, including addressing AML inquiries on foreign transactions, as well as the review, investigation and results of the semi-annual 312 reporting
- Performing Tier 1 Supervision of advisors for assigned branches in accordance with industry regulations and firm policies and procedures
- Performing data and risk analysis and synthesizing that information for follow up and reporting
- Identifying, escalating and addressing issues and potential trends and outlier behaviors
- Identifying, escalating and helping to address issues and potential trends
6
Skills For Operational Risk Manager Business Control & Supervision AVP Resume
- Implement and maintain a system for ensuring that all required documents are maintained and archived at the Central Supervisory Unit’s office
- Shows considerable knowledge of investments and trading, securities industry regulations, and client suitability (all at a level consistent with the Series 24 and/or 9/10 licensing as required by functional area). Familiarity/facility with RJ and its systems is preferable
- Experience in branch practices and operations
- Strong foundation in investment concepts, practices and procedures used in the securities industry, Financial markets and financial products
- A proven leader who can establish and maintain a respected position of leadership to influence, motivate and persuade others to achieve desired outcomes
- Branch Managers Course, Effective Management Seminar
- Upervision, International, or oversight experience
- Multi-National Company experience is an asset
- Active and valid Series 7, 63, 8 (9/10) required
7
Skills For Ccb-senior Fiduciary Supervision Business Manager Fiduciary Supervision Resume
- Experience of Patter Based Supervision in financial services
- Familiar with big parts machining manufacturing and management process, mechanical machining, technical process
- Fast-thinking; nimble at joining the dots
- An in-depth understanding of the firm’s compliance domestic and international policies and procedures
- Demonstrated ability to manage a distributed team of resources and establish and communicate clear directions and priorities for the team. Can execute consistent Human resource management principles and practices
8
Skills For Assistant Manager, Central Supervision Resume
- Project a professional and pleasant demeanor to work with advisors and clients; utilize tact and diplomacy in dealing with customers in a deadline-driven environment
- Commitment to providing a high level of customer service in a calm and professional manner, constantly projecting a Service 1st attitude
- Effectively organize, manage, track and complete multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment
- Operate standard office equipment and use required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases
- Good communication and coordination ability; Good team work spirit, effective communication, being able to manage the wholeteam and arrange the production reasonably with high quality and low cost according to production planner requirement
- SIE required provided that an exemption or grandfathering cannot be applied
- Daily supervision of Annuities activities, inclusive of trading, advised offer referral review, communications, and other approvals/reviews as needed
- Ensure the operators to follow the EMPLOYEE HANDBOOK&EHS procedure
9
Skills For Manager Complex Product Supervision Resume
- Desired-Person who is familiar with turbine manufacturingshould be in preference
- Train and develop higher potential employees
- Deals fairly and equitably with all employees
- Series 7 License, Series 24 or 9/10. Additional appropriate Series license(s) for assigned functional area within six (6) months
- Conduct and Practices Handbook (CPH)
- Additional licenses required for assigned functional area such as Series 9/10, Series 53 and/or Life, Health & Variable Annuity Insurance License, or ability to obtain within designated timeframe
- Demonstrates business judgment, independent thinking and decision-making abilities
- Possesses the ability to execute and communicate strategy by leveraging business knowledge
10
Skills For Construction Supervision Manager Resume
- Well versed in consumer protection regulations and risk focused supervision
- Possesses the ability to lead teams, assess talent and create accountability
- Able to work independently on a variety of tasks
- Series 7, 8 (9/10), 63 and 66 licenses required
- Monitor activities and performance of field OSJ’s, branch office managers/supervisors to ensure proper supervision of representatives
- Series 66 (63/65) required
- Self-directed and self-motivated - able to work independently on a variety of tasks
- Developing an extensive knowledge of the Schwab Annuities and Insurance business model and Schwab products as well as a general understanding of the Schwab Branch and Independent Branch Networks
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