Junior Agency Supervisory Officer

NFP Corp•New York, NY

8d•$73,800 - $118,100

About The Position

The Junior Agency Supervisory Officer helps maintain a strong supervisory framework, ensure adherence to regulatory standards, and support registered representatives. The role provides oversight, mentorship, and assistance resolving partner concerns across the agency. The position supervises registered representatives, reviews communications, conducts branch audits and risk assessments, monitors sales practices, investigates escalated issues, and delivers compliance training and coaching. It also partners with internal teams to strengthen controls and support business growth, maintains records and reports, reviews correspondence and digital communications, administers the Firm Element continuing education program, and conducts third-party verification calls for checks and wires.

Requirements

Active FINRA Series 7 and Series 63 licenses.
3–5+ years of supervisory, compliance, or field leadership experience within a broker-dealer or financial services environment.
Strong understanding of FINRA and SEC regulations, supervisory controls, and sales practice standards.
Excellent analytical, communication, and decision-making skills.
Ability to manage multiple priorities while maintaining accuracy and regulatory integrity.
High level of integrity, discretion, and ethical judgment.

Nice To Haves

FINRA Series 65 or Series 66 license.
FINRA Series 24 license.

Responsibilities

Provide day-to-day supervision of registered representatives in accordance with FINRA, SEC, and firm policies.
Review and approve communications with the public.
Conduct periodic audits, inspections, and risk assessments for assigned branches.
Conduct personal interviews with advisors and credentialed employees.
Monitor sales practices for suitability, proper documentation, and regulatory compliance.
Serve as a subject-matter expert on supervisory procedures, compliance requirements, and industry guidelines for advisor and registered staff.
Investigate and resolve escalated issues, customer complaints, and potential violations.
Deliver training and coaching to representatives and managers on compliance expectations and supervisory standards.
Collaborate with Compliance, Operations, and Field Leadership to strengthen supervisory controls and support business growth.
Maintain accurate records and prepare reports for internal review and regulatory inquiries.
Conduct email and social media reviews and partner with firm management to maintain corrective action plans.
Review outgoing and incoming correspondence for compliance.
Implement the Firm Element continuing education program.
Review and conduct third-party verification phone calls for checks and wires.