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 Agency Supervisory Officer (ASO) reports to the designated supervisory leader and supports the firm's supervisory framework with a focus on investment suitability, principal review, regulatory compliance, and risk mitigation while ensuring supervisory decisions are timely, consistent, and well documented.

Job accountabilities:

Client Portfolio Suitability Consultation

• Evaluate transactions, product recommendations, account features, and investment strategies for suitability and compliance with firm requirements.
• Provide principal review and approval for designated products, i.e. complex products.
• Conduct client or third-party outreach when additional validation is required to support a supervisory decision.
• Document review outcomes, conditions, approvals, and required follow-up.

Supervisory Monitoring and Risk Management

• Monitor supervisory activity, transaction alerts, account exceptions, and other risk indicators to identify patterns or potential concerns.
• Research identified issues, coordinate corrective action, and address customer concerns or apply disciplinary standards when appropriate.
• Maintain required supervisory logs, reviews, approvals, and documentation in accordance with established schedules.
• Analyze trends and prepare recurring or targeted reports to support risk assessment and supervisory priorities.
• Monitor supervision arrangements that have been improved and other risk-based controls for continued efficiency.

Exceptions, Escalations, and Corrective Action

• Review exception requests, gather supporting information, and coordinate decisions with the appropriate stakeholders.
• Serve as an escalation resource for complex supervisory matters and facilitate timely resolution.
• Coordinate required client, representative, and Home Office follow-up, including corrective action and account-status changes.
• Maintain complete records of correspondence, decisions, and resolution steps.

Education, experience, license requirements:

• Bachelor's degree in Business Administration, Finance, or related field (or equivalent experience).
• Minimum of 5 years' experience in financial services, insurance, or agency operations, with at least 2 years in a supervisory or compliance-focused role.
• Active FINRA Series 7, Series 24, Series 53 (or equivalent supervisory licenses) and Series 63 required; Series 65/66 preferred.
• Strong knowledge of state and federal regulations governing insurance and securities activities.

Job competencies:

Skills and Competencies

• Sound principal judgment and consistent application of policy.
• Strong analytical, research, documentation, and risk-identification skills.
• Clear written and verbal communication with clients, representatives, and business partners.
• Ability to manage multiple priorities and recurring deadlines with attention to detail.
• Proficiency with standard business, supervisory, and compliance systems.

Performance Measures

• Quality, accuracy, and timeliness of supervisory reviews and decisions.
• Timely resolution and documentation of anomalies, blocking issues, and remedial measures.
• Consistency of policy application and risk-based supervision.
• Effectiveness of reporting, training, and communication.
• Responsiveness to emerging risks and regulatory or policy changes.

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 $92,300.00 - $147,800.00. 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.