Job Summary

A financial services company is filling a position for a Remote Financial Supervision Specialist.

Candidates will be responsible for the following:

• Performing principal review and approval of new accounts
• Performing principal review and approval of direct business
• Performing principal review and approval of investment advisory business

Qualifications Include:

• Bachelor’s degree
• FINRA Series 7 and Series 24 license
• 3+ years of relevant securities industry experience
• 2+ years of compliance and/or supervisory experience within the brokerage industry
• Strong working knowledge of the brokerage\investment advisory business
• Deep understanding of industry rules governing supervision and suitability