Key Facts

Remote From:

Full time

Senior (5-10 years)

English

Hard Skills

Investment Account Management Regulatory Compliance Investment Account Management Industry Trend Analysis Regulatory Compliance Escalation Procedures Compliance Management Customer Relationship Management Compliance Management Supervisory Control And Data Acquisition (SCADA) Financial Management Management Reporting Compliance Management Portfolio Management Online Communication

Other Skills

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Non-Verbal Communication
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Collaboration
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Time Management
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Critical Thinking
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Decisiveness
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Personal Integrity
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Solutions Focused
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Organizational Skills
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Analytical Thinking
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Relationship Building

Roles & Responsibilities

5+ years of experience in supervision or compliance within an investment advisory or financial services environment
Strong understanding of investment advisory supervision, advisor workflows, and regulatory expectations
FINRA Series 65 or 66 registration required
Strong written and verbal communication skills with the ability to influence and educate advisors

Requirements:

Provide hands-on supervisory oversight of investment advisory activities to support a consistent, high-quality advisor and client experience
Educate and guide Investment Advisor Representatives, translating regulatory and supervisory requirements into clear, practical guidance for day-to-day work
Perform day-to-day and periodic supervisory reviews of advisory activity, including portfolio monitoring and issue escalation; utilize supervision tools to identify trends, risks, and potential compliance issues
Develop and refine scalable supervisory frameworks, controls, and procedures; partner with Compliance, Operations, Technology, and leadership to address findings and improve supervisory workflows

Job description

Overview:

Alera_Color_250x80

Supervision Manager – Wealth Services
Location: Remote

At Alera Group, our Wealth Services team supports individuals and families in building, protecting, and transferring wealth through comprehensive financial planning and investment strategies. We’re seeking a Supervision Manager who will contribute to client relationships, financial strategy, and operational excellence.

This role will focus on client advisory within the RIA space.

About Alera Group
Founded in 2017, Alera Group has grown to become the 14th largest broker of U.S. business. We are passionate about our clients’ success in Employee Benefits, Property & Casualty Insurance, Retirement Plan Services, and Wealth Services. With offices nationwide, our collaborative approach allows us to deliver national strength with local service.

Why Alera Group

Meaningful Impact: Help clients and employees navigate benefits programs that drive retention, engagement, and satisfaction
Growth & Learning: Opportunities to deepen your expertise and gain exposure to a variety of clients and industries
Collaborative Culture: Work in a team-oriented environment that values accountability, partnership, and the principles of The Collaborative Way

Responsibilities:

What You’ll Do / Your Impact

Client Experience & Advisory Support

Provide hands‑on supervisory oversight of investment advisory activities to support a consistent, high‑quality advisor and client experience
Interact directly with Investment Advisor Representatives to educate, guide, and reinforce supervisory expectations and firm policies
Translate regulatory and supervisory requirements into clear, practical guidance that advisors can apply in their day‑to‑day work
Support advisor confidence and consistency through fair, knowledgeable, and timely supervision

Operational & Compliance Excellence

Perform day‑to‑day and periodic supervisory reviews of advisory activity, including portfolio monitoring and issue escalation
Utilize supervision and portfolio monitoring tools to identify trends, risks, and potential compliance issues
Ensure supervisory documentation, reporting, and escalation practices align with regulatory requirements and internal standards
Partner closely with Compliance, Operations, Technology, and leadership to address findings, resolve issues, and improve supervisory workflows
Contribute to the development and refinement of scalable supervisory frameworks, controls, and procedures

Growth & Retention

Support the growth of Alera Group’s Financial Services business by building supervision practices that scale with new advisors, entities, and platforms
Identify opportunities to enhance supervisory effectiveness while balancing regulatory rigor and business needs
Contribute insights and reporting that support proactive risk management and long‑term advisor retention
Participate in projects tied to regulatory changes, business initiatives, and technology enhancements

Qualifications:

What You Bring

Required

5+ years of experience in supervision or compliance within an investment advisory or financial services environment
Strong understanding of investment advisory supervision, advisor workflows, and regulatory expectations
FINRA Series 65 or 66 registration required
Ability to exercise sound judgment, work independently, and manage competing priorities effectively
Strong written and verbal communication skills with the ability to influence and educate advisors

Preferred

FINRA Series 7 and/or Series 24
Experience working within a multi‑entity RIA structure
Familiarity with RIA custodial platforms and portfolio management or supervision technology
Experience contributing to the design or enhancement of supervisory programs and controls

Core Competencies

Analytical mindset with strong critical‑thinking skills
Relationship‑building and collaborative partnership
Integrity, discretion, and sound judgment
Strong organizational and follow‑through skills
Solutions‑oriented approach to supervision and risk management

Additional Information:

Compensation:
Salary range: $100,000 – $130,000 per year
Eligible for performance-based bonus: Yes

Benefits:
Alera Group offers comprehensive benefits including medical, dental, vision, life and disability coverage, 401(k), generous PTO, and more.

Work Model:
This role is Remote

Professional Development – Alera Group Academy

At Alera Group, growth isn’t left to chance. Through Alera Group Academy, we provide structured development opportunities designed to help you expand your expertise and build a meaningful career.

You’ll have access to:

Role-specific learning paths
Leadership development programs
Technical and compliance training
Industry certifications and continuing education support
Peer learning and knowledge-sharing communities

Whether you’re deepening technical expertise or preparing for leadership, we’re invested in helping you grow.

Licensure & Certifications (If Applicable)

This position may require:

Active FINRA licenses (Series 65 and 66), Series 7 or 24 is preferred.
CFP® preferred or encouraged
Ongoing continuing education to maintain active status

We're an equal opportunity employer. All applicants will be considered for employment without attention to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran or disability status, or any other protected class.

Alera Group is committed to protecting your privacy. Please review our Privacy Policy to understand what personal information we may collect and use as part of your application process.

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