Series 24 REQUIRED Financial Supervision & Surveillance Analyst

TEKsystems•Charlotte, NC

8d•$55 - $70•Remote

About The Position

• Ownership of Supervision reporting and analytics, which will be reviewed by Supervision Principals, Client Leadership; to include the SLT, ELT and Supervision Leadership in order to provide insight on Field and Home Office activity. • Manage and analyze ad hoc reports for use by Supervision Principals and Supervision leadership. • Develop and maintain regular reports using Excel and Power BI to track supervision metrics and identify trends. • Ensure accuracy and timeliness of all reports and analytics. • Provide insights and recommendations based on data analysis to improve supervision processes. • Provide feedback and recommendations to Supervision Leadership for decisions regarding capacity and productivity. • Supervision systems, policies, and procedures Subject Matter Expert. • Will serve as liaison between Supervision and our internal business partners to communicate and assist with the resolution of outstanding issues; business partners include BIS, Financial Planning, Compliance, Transfer Agency, Insurance Operations, Product Management and Advisor Operations. • Responsible for gathering all required documentation associated with regulatory inquiries and Supervision investigations. • Assist in the development and implementation of new processes and procedures to improve efficiency and effectiveness. • Responsible for adopting new technology and assist in the facilitation of training of the Supervision Principals. • Conducts annual reviews of Supervision policy and procedure documents. • Manages the tracking and updates of the Supervision policy and procedure documents. • Interact with Internal and external business partners on behalf of the Supervision Principals when needed, which includes answering inbound calls and responding to emails. • Knowledge of Written Supervisory Procedures (WSP), Compliance Manual (CM), and Sales Approval Matrix. • Performs other duties as required.

Requirements

MUST have series 24, 7, series 6, series 63, series 66, Texas Life and Health Agent,, compliance manual, written supervisory procedures, sales approval matrix, FIS Protegent, NetX360
Bachelor's Degree required in a related field (Experience may be considered)
5 years of Financial Services experience is required (Experience in an Analyst capacity may be considered)
2 years of advanced excel experience is required.
FINRA Series 99 required or must obtain within 180 days of employment.

Nice To Haves

Working towards FINRA Series 7, 24, 63 and 66 licenses
Working towards Texas Life and Health Agent

Responsibilities

Ownership of Supervision reporting and analytics
Manage and analyze ad hoc reports
Develop and maintain regular reports using Excel and Power BI to track supervision metrics and identify trends
Ensure accuracy and timeliness of all reports and analytics
Provide insights and recommendations based on data analysis to improve supervision processes
Provide feedback and recommendations to Supervision Leadership for decisions regarding capacity and productivity
Supervision systems, policies, and procedures Subject Matter Expert
Serve as liaison between Supervision and our internal business partners
Responsible for gathering all required documentation associated with regulatory inquiries and Supervision investigations
Assist in the development and implementation of new processes and procedures to improve efficiency and effectiveness
Responsible for adopting new technology and assist in the facilitation of training of the Supervision Principals
Conducts annual reviews of Supervision policy and procedure documents
Manages the tracking and updates of the Supervision policy and procedure documents
Interact with Internal and external business partners on behalf of the Supervision Principals when needed
Knowledge of Written Supervisory Procedures (WSP), Compliance Manual (CM), and Sales Approval Matrix
Performs other duties as required