FINRA Licensed Field Supervisor

Job Summary

Providing oversight and monitoring for dual-registered representatives, the full-time remote FINRA Licensed Field Supervisor will ensure compliance with regulatory standards, review financial plans, and conduct quality reviews while coordinating with various teams.

Key responsibilities

• Review financial plans and product recommendations to ensure compliance with firm standards and regulations
• Conduct quality reviews, respond to inquiries, and support surveillance monitoring and customer complaint research
• Coordinate with sales leadership, compliance partners, and operations to facilitate business transitions and reporting requirements

Required qualifications

• Bachelor's degree or equivalent work experience in the financial services industry
• Active FINRA Series 7, 24, & 66 (or 65 & 63) licenses or ability to obtain within 6 months
• 4+ years of related supervision or oversight experience
• Knowledge of retirement plans and securities products, including Stocks, Bonds, ETFs, and Mutual Funds
• Ability to work independently in a fast-paced environment while managing multiple tasks