FINRA Licensed Field Supervisor

Job Summary

A company is looking for a Field Supervisor 2 (West Coast).

Key Responsibilities

• Review and follow-up on field supervision items, including social media and correspondence
• Handle advanced issues by reviewing financial plans and communicating with the Principal Advisor Network
• Work with Broker Dealer Operations and Compliance to address formal customer complaints

Required Qualifications

• FINRA Series 7, 24, & 66 required; Series 4 & 53 preferred
• Bachelor's degree or equivalent with 4+ years of related experience
• Strong knowledge of securities products including Stocks, Bonds, Mutual Funds, & Annuities
• Must be a FINRA associated person, requiring fingerprinting and a full background check
• Ability to work independently in a fast-paced environment