FINRA Licensed Field Supervision Officer

Job Summary

A company is looking for a Field Supervision Officer II to join their Field Supervision Department.

Key Responsibilities

• Review non-supervisory and basic supervisory client and branch activity to identify fraudulent or manipulative activity
• Review electronic communication for branch teams and home office associates
• Identify supervisory issues, trends, and potential concerns in branch activity and effectively communicate them to clients and associates

Required Qualifications, Training, and Education

• Active Series 7 license held for a minimum of one year
• Must obtain Series 9, 10, 24, and 66 within 4 months of hire
• Insurance license is preferred
• One to two years of compliance experience is preferred
• Bachelor's degree or equivalent experience is preferred, but not required