FINRA Licensed Supervisory Consultant
Job Summary
Overseeing the day-to-day supervision of registered representatives in a wholesale broker-dealer environment, the full-time FINRA Licensed Supervisory Consultant will manage high-volume supervision, risk management, and operational execution while working remotely.
Key responsibilities
- Reviewing and approving high-volume supervision items, including non-cash compensation and related orders
- Monitoring compliance with gift & entertainment policies and conducting surveillance of communications
- Providing supervision guidance in response to field inquiries 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 and Series 24 or Series 26 within 90 days of start date
Complete Job Description
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