Oversees trading practices and review trends of client accounts.  Supervise and directs activities of the sales supervision officer.  Assists the management on escalated compliance, operational and administrative issues.  May approve new accounts, correspondence and trading activities.  Creation of policies and procedures.  Strong communication skills and brokerage knowledge in administrative, operational, financial, and compliance, seven to ten years experience.  Life and Variable Annuities Licenses.  Bilingual English & Spanish