Lead Consultant Supervision Specialist

Job Summary

A company is looking for a Lead Consultant Supervision Specialist.

Key Responsibilities

• Provide daily guidance on supervision processes and resolve escalated or complex items
• Coordinate procedure updates and support implementation of process improvements
• Facilitate training initiatives related to product, regulatory, and organizational changes

Required Qualifications

• Bachelor's degree in business or finance, or equivalent experience in wealth management or financial services
• FINRA Series 7, 24, and 66 registrations required
• FINRA Series 51 registration required within corporate established timelines
• Experience in regulatory compliance and/or supervisory functions
• Ability to work independently while influencing peers and internal partners