Senior Supervision Specialist
About The Position
We’re seeking a Supervision Specialist to join our team and help ensure compliance and operational excellence. This role offers an opportunity to leverage your industry expertise as a registered principal while supporting financial professionals and safeguarding firm standards. Ideal candidates are self-motivated with strong critical-thinking and communication skills, detail-oriented, and thrive in fast-paced, time-sensitive environments. A strong understanding of the financial services industry, including products and regulations, is essential.
Requirements
- 3+ year of compliance or relevant securities experience
- 3+ year of experience and a strong understanding of securities products including stocks, bonds, options, annuities, and mutual funds
- FINRA Series 7, 24, 65/66 and 63 required
- Strong working knowledge of industry products and services (stocks, bonds, mutual funds, UITs, ETFs, REITs, annuities, alternative investments, etc.).
- Deep understanding of industry rules governing transactions and suitability.
- Excellent technology and communication skills.
- Ability to thrive in a fast-paced environment with strong prioritization and multitasking skills.
- Collaborative team player with a commitment to department and firm success.
- In-depth knowledge of financial products and services.
- Great customer service, communication and relationship skills.
Responsibilities
- Directly oversee assigned representatives by reviewing and approving customer new accounts, daily transactions, correspondence review and with Regulation Best Interest.
- Review alerts related to advisory account exceptions.
- Conduct customer account reviews to detect potential sales abuses.
- Discuss compliance concerns or potential violations with the financial representative.
- Provide education and training to Financial Professionals concerning regulatory, corporate and legal requirements, general product offerings, licensing issues as well as internal processes & procedures.
- Collaborate with team members, departments, home office staff, and field personnel to provide ad hoc supervision support and promote the firm’s overall objectives.
- Other duties as assigned, including and/or operations functions.
Benefits
- competitive performance-based bonus
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
No Education Listed
Number of Employees
251-500 employees
