Junior Agency Supervisory Officer

Who We Are:

Lenox Advisors brings together sophisticated solutions in wealth management and insurance services to high-net-worth individuals and their families. As a wholly owned subsidiary of NFP, an Aon company, we combine the culture of a boutique firm with the stability and backing of a large corporation to create an environment that's truly unique.

Position Summary & Overall purpose:

The Junior Agency Supervisory Officer is central to maintaining a strong supervisory framework, ensuring adherence to regulatory standards, and supporting the success of our registered representatives. You'll serve as a key resource for oversight, mentorship, and resolving partner concerns across our agency.

Job accountabilities:

• Provide day-to-day supervision of registered representatives in accordance with FINRA, SEC, and firm policies.
• Review and approve communications with the public.
• Conduct periodic audits, inspections, and risk assessments for assigned branches.
• Conduct Personal Interviews with advisors and credentialed employees
• Monitor sales practices to ensure suitability, proper documentation, and regulatory compliance.
• Act as a subject-matter expert on supervisory procedures, compliance requirements, and industry guidelines for our advisor and registered staff community.
• Investigate and resolve escalated issues, customer complaints, and potential violations.
• Deliver training and coaching to representatives and managers on compliance expectations and supervisory standards.
• Collaborate with Compliance, Operations, and Field Leadership to strengthen supervisory controls and support business growth.
• Maintain accurate records and prepare reports for internal review and regulatory inquiries.
• Conduct email and social media reviews and partner with firm management to maintain corrective action plans. Review outgoing/incoming correspondence for compliance
• Take control of the Implementation for Firm Element Cont. Education Program
• Review and carry out 3rd Party verification Phone Calls for checks and wires
• Review outgoing/incoming correspondence for compliance
• Conduct 3rd Party verification phone calls for checks and wires

Education, experience, license requirements:

• Active FINRA Series 7 and Series 63 required. Series 65/66 and Series 24 preferred.
• 3-5 years of supervisory, compliance, or field leadership experience within a broker-dealer or financial services environment.
• Strong understanding of FINRA/SEC regulations, supervisory controls, and sales practice standards.

Skills and Competencies

• Excellent analytical, communication, and decision-making skills.
• Ability to manage multiple priorities while maintaining accuracy and regulatory integrity.
• High level of integrity, discretion, and ethical judgment.

What We Offer:

We're proud to offer a competitive salary, PTO & paid holidays, 401(k) with match, exclusive discount programs, health & wellness programs, and more. Our PeopleFirst culture focuses on building and nurturing lifelong relationships with our employees because, at the end of the day, we exist to be there for others. The base salary range for this position is $73,800.00 - $118,100.00. The base salary offered will be determined by factors including, but not limited to, experience, credentials, education, certifications, skill level required for the position, the scope of the position, and geographic location. Actual base salary offered will be determined on a case-by-case basis. In addition to the base salary, this position may be eligible for performance-based incentives.

NFP and You... Better Together!

NFP and Lenox Advisors is an inclusive Equal Employment Opportunity employer.