Supervision Consultant

Empower • Overland Park, KS

1d • $72,200 - $101,975 • Remote

About The Position

As a Supervision Consultant, you will support the general supervision of Registered Representatives and Investment Advisor Representatives. In this role, you'll play a key part in overseeing supervisory procedures, records, and education, ensuring compliance with regulatory requirements, and contributing to process improvement.

Requirements

• Bachelor's Degree preferred in a business or finance-related field, or equivalent work experience
• At least 3 years of experience in the retail financial services industry
• Knowledge and experience in regulatory compliance and/or supervision
• FINRA Series 7, Series 24, and Series 51 registrations required. Permissible additional registrations may include 63, 65/66
• Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment visa at this time, including CPT/OPT.

Nice To Haves

• Intermediate skill level MS Word, MS Excel, and MS PowerPoint
• Detail oriented with proven technical skills
• Strong motivational and interpersonal skills
• Demonstrated ability to work both independently and within a collaborative team environment

Responsibilities

• Provide effective supervision and coaching to sales team management, addressing call reviews, escalations, and complaint handling
• Collaborate with Compliance, HR, and management to recommend and monitor individuals requiring additional supervision
• Prepare regular reports on supervisory trends and activities, executing plans for issue remediation.
• Conduct self-audits of branch office records and reviews of electronic and written communications
• Provide backup support to other department teams, including call quality reviews, participating in calibrations and disputes, and performing suitability and trade reviews as needed
• Partner with Training, Compliance, and Legal staff to develop and maintain supervisory policies, procedures, and training resources.
• Provide training to relevant stakeholders

Benefits

• Medical, dental, vision and life insurance
• Retirement savings – 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup
• Tuition reimbursement up to $5,250/year
• Business-casual environment that includes the option to wear jeans
• Generous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar year
• Paid volunteer time — 16 hours per calendar year
• Leave of absence programs – including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA)
• Business Resource Groups (BRGs) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Associate degree