• Supervise sales activities of registered representatives including the review of daily trade activity. • Perform suitability and best interest reviews for all investment sales including stocks, bonds, options, mutual funds, ETFs, alternative investments, structured products, and Annuities. • Supervise sales activities of investment advisor representatives including the review of investment advisory new accounts and managed account transactions reviews. • Assist in Field related investigations as needed/requested. • Document RR activity and issues and provide monthly report to Field Leadership. • Coordinate audit requests as needed regarding activities of the Supervision Department. • Perform other related duties as assigned. • Monitor system queues for designated offices and ensure workloads are distributed accordingly. • Manage the performance of team members and provide guidance and training when necessary.