FINRA Licensed Supervision Consultant

Job Summary

Supporting the general supervision of Registered Representatives and Investment Advisor Representatives, the full-time remote FINRA Licensed Supervision Consultant will oversee supervisory procedures, ensure compliance with regulatory requirements, and contribute to process improvement.

Key responsibilities

• Provide effective supervision and coaching to sales team management, addressing call reviews, escalations, and complaint handling
• Collaborate with Compliance, HR, and management to recommend and monitor individuals requiring additional supervision
• Prepare regular reports on supervisory trends and activities, executing plans for issue remediation

Required qualifications

• Bachelor's Degree preferred in a business or finance-related field, or equivalent work experience
• At least 3 years of experience in the retail financial services industry
• Knowledge and experience in regulatory compliance and/or supervision
• FINRA Series 7, Series 24, and Series 51 registrations required
• Intermediate skill level in MS Word, MS Excel, and MS PowerPoint