FINRA Licensed Field Supervisor

Job Summary

To ensure compliance and deliver a high-quality customer experience, the full-time FINRA Licensed Field Supervisor will review complex securities transactions, collaborate with Compliance and Operations, and support the training of new team members while working remotely.

Key responsibilities

• Review and approve field supervision items submitted by Financial Professionals
• Collaborate with Broker Dealer Operations and Compliance to address and resolve formal customer complaints
• Assist in the scheduling and preparation for annual visits and maintain up-to-date knowledge of securities products and regulations

Required qualifications

• FINRA Series 7, 24, & 66 required; Series 4 & 53 preferred
• Bachelor's degree or equivalent with 4+ years of relevant 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 to meet deadlines