FINRA Licensed Supervisory Consultant

Job Summary

To support the oversight of registered representatives in a wholesale broker-dealer environment, the full-time remote FINRA Licensed Supervisory Consultant will manage high-volume supervision tasks, risk management, and operational execution while ensuring compliance with regulatory requirements.

Key responsibilities

• Reviewing and approving high-volume supervision items, including non-cash compensation and related orders
• Monitoring compliance with gift and entertainment policies and conducting surveillance of communications
• Providing supervision guidance and conducting training sessions with registered representatives

Required qualifications

• Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's)
• 3-5+ years in broker-dealer supervision, compliance, or related experience
• Strong understanding of FINRA supervision requirements
• FINRA SIE and FINRA Series 6 or 7 required at time of hire
• FINRA Series 63 obtained within 120 days of start date; Series 24 or Series 26 within 90 days of start date