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 ImpactClient 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 BringRequired
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