Lead Agency Supervisory Officer
Aon · New York City · $144,300–$230,900 (stated in the posting)
Posting DescriptionWho We Are:
Lenox Advisors provides sophisticated wealth management and insurance solutions for high-net-worth individuals and their families. We are a wholly owned subsidiary of NFP, an Aon company. We combine a boutique firm's culture with the stability and backing of a large corporation to develop an outstanding environment.
Position Summary & Overall purpose:
Reporting directly to the General Agent, the Lead Agency Supervisory Officer works in close partnership with Compliance, Risk, and other Home Office departments. This position delivers strategic direction and oversight of the agency’s supervisory framework. It leads supervisory staff and holds accountability for the efficiency of the Agency’s Supervisory Program encompassing governance, policy administration, regulatory readiness, and enterprise risk coordination. The role centers primarily on tasks that extend past individual client-account reviews.
Job accountabilities:
Supervisory Governance and Oversight
- Implement and maintain the agency's supervisory framework, policies, procedures, and control environment.
- Review significant supervisory matters, exceptions, trends, and emerging risks that require senior-level judgment or coordination.
- Conduct regular branch and agent audits, including review of client files, transaction suitability, and sales practices.
- Monitor and review agent activities to identify and address potential compliance risks.
- Ensure timely and accurate reporting of incidents, blocking issues, and regulatory filings.
- Assist with the onboarding and supervision of new agents and staff, ensuring accurate licensing and registration.
- Collaborate with management on office registration in accordance with state and federal regulations.
Team Leadership and Regulatory Partnership
- Lead, develop, and support supervisory personnel through clear expectations, mentoring, workload prioritization, and performance accountability.
- Serve as the senior point of contact for complex supervisory, compliance, and conduct matters involving blocking issues.
- Work closely with Home Office teams responsible for Compliance, Risk, and Legal issues.
- Provide senior management with clear reporting on supervisory performance, risk themes, resource needs, and remediation progress.
Enterprise Initiatives and Organizational Preparedness
- Coordinate regulatory change management, policy implementation, licensing and registration controls, and supervisory readiness.
- Sponsor training, communications, and change-management efforts that reinforce supervisory expectations across the organization.
- Lead initiatives involving supervisory technology, data, recordkeeping, workflow development, process improvement, and risk mitigation.
- Represent the supervisory function in enterprise projects and governance forums.
Education/experience/license requirements:
- Bachelor’s degree in Business Administration, Finance, or related field (or equivalent experience).
- Minimum of 10 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.
- Deep familiarity with state and federal rules regulating insurance and securities activities.
Skills and Proficiencies
- Strategic judgment and the ability to translate regulatory requirements into practical governance and controls.
- Demonstrated leadership, mentoring, delegation, and performance-management capabilities.
- Strong analytical, problem-solving, and executive communication skills.
- Ability to lead cross-functional initiatives and manage competing priorities.
- High ethical standards, sound judgment in handling blocking issues, and disciplined follow-through.
- Proficiency with business, reporting, supervisory, and compliance technology.
Performance Measures
- Efficiency and consistency of the agency’s supervisory framework and control environment.
- Quality of team oversight, blocking issue management, and supervisory decision-making.
- Audit and examination outcomes, including timely remediation of findings.
- Execution of regulatory, policy, technology, and process-improvement initiatives.
- Quality of management reporting, collaboration across functions, and organizational preparedness.
- Travel Required
What We Offer:
We offer a competitive salary, PTO and paid holidays, a 401(k) with match, exclusive discount programs, health and wellness initiatives, and more. Our PeopleFirst culture emphasizes building and nurturing lifelong relationships with our employees because our mission is to support others. The base salary range for this position is $144,300.00 – $230,900.00. The salary offered will depend on experience, credentials, education, certifications, the skill level required, the scope of the position, and geographic location. Salary decisions are made individually. This position may also be eligible for performance-based incentives.
NFP and You... Better Together!
NFP and Lenox Advisors is an inclusive Equal Employment Opportunity employer.
2591275Who We Are:
Lenox Advisors provides sophisticated wealth management and insurance solutions for high-net-worth individuals and their families. We are a wholly owned subsidiary of NFP, an Aon company. We combine a boutique firm's culture with the stability and backing of a large corporation to develop an outstanding environment.
Position Summary & Overall purpose:
Reporting directly to the General Agent, the Lead Agency Supervisory Officer works in close partnership with Compliance, Risk, and other Home Office departments. This position delivers strategic direction and oversight of the agency’s supervisory framework. It leads supervisory staff and holds accountability for the efficiency of the Agency’s Supervisory Program encompassing governance, policy administration, regulatory readiness, and enterprise risk coordination. The role centers primarily on tasks that extend past individual client-account reviews.
Job accountabilities:
Supervisory Governance and Oversight
- Implement and maintain the agency's supervisory framework, policies, procedures, and control environment.
- Review significant supervisory matters, exceptions, trends, and emerging risks that require senior-level judgment or coordination.
- Conduct regular branch and agent audits, including review of client files, transaction suitability, and sales practices.
- Monitor and review agent activities to identify and address potential compliance risks.
- Ensure timely and accurate reporting of incidents, blocking issues, and regulatory filings.
- Assist with the onboarding and supervision of new agents and staff, ensuring accurate licensing and registration.
- Collaborate with management on office registration in accordance with state and federal regulations.
Team Leadership and Regulatory Partnership
- Lead, develop, and support supervisory personnel through clear expectations, mentoring, workload prioritization, and performance accountability.
- Serve as the senior point of contact for complex supervisory, compliance, and conduct matters involving blocking issues.
- Work closely with Home Office teams responsible for Compliance, Risk, and Legal issues.
- Provide senior management with clear reporting on supervisory performance, risk themes, resource needs, and remediation progress.
Enterprise Initiatives and Organizational Preparedness
- Coordinate regulatory change management, policy implementation, licensing and registration controls, and supervisory readiness.
- Sponsor training, communications, and change-management efforts that reinforce supervisory expectations across the organization.
- Lead initiatives involving supervisory technology, data, recordkeeping, workflow development, process improvement, and risk mitigation.
- Represent the supervisory function in enterprise projects and governance forums.
Education/experience/license requirements:
- Bachelor’s degree in Business Administration, Finance, or related field (or equivalent experience).
- Minimum of 10 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.
- Deep familiarity with state and federal rules regulating insurance and securities activities.
Skills and Proficiencies
- Strategic judgment and the ability to translate regulatory requirements into practical governance and controls.
- Demonstrated leadership, mentoring, delegation, and performance-management capabilities.
- Strong analytical, problem-solving, and executive communication skills.
- Ability to lead cross-functional initiatives and manage competing priorities.
- High ethical standards, sound judgment in handling blocking issues, and disciplined follow-through.
- Proficiency with business, reporting, supervisory, and compliance technology.
Performance Measures
- Efficiency and consistency of the agency’s supervisory framework and control environment.
- Quality of team oversight, blocking issue management, and supervisory decision-making.
- Audit and examination outcomes, including timely remediation of findings.
- Execution of regulatory, policy, technology, and process-improvement initiatives.
- Quality of management reporting, collaboration across functions, and organizational preparedness.
- Travel Required
What We Offer:
We offer a competitive salary, PTO and paid holidays, a 401(k) with match, exclusive discount programs, health and wellness initiatives, and more. Our PeopleFirst culture emphasizes building and nurturing lifelong relationships with our employees because our mission is to support others. The base salary range for this position is $144,300.00 – $230,900.00. The salary offered will depend on experience, credentials, education, certifications, the skill level required, the scope of the position, and geographic location. Salary decisions are made individually. This position may also be eligible for performance-based incentives.
NFP and You... Better Together!
NFP and Lenox Advisors is an inclusive Equal Employment Opportunity employer.
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