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Heightened Supervision Field Supervision Director
Job Summary
A company is looking for a Field Supervision Director for Heightened Supervision.
Key Responsibilities:
- Monitor and supervise Financial Advisors who may warrant additional review
- Enforce firm and regulatory compliance rules and policies
- Consult on firm offered products, asset allocation strategies, and investment solutions for clients
Required Qualifications:
- Active Series 7 license held for a minimum of one year
- Required or obtain Series 9, 10, 24, and 66 licenses within 4 months of hire
- Preferred: Insurance license, general knowledge of compliance or industry experience, bachelor's degree in business-related field
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COMPLETE JOB DESCRIPTION
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