The Supervision Specialist position offers a unique opportunity for seasoned industry professional to apply their knowledge and experience while performing various business review functions in their capacity as a firm principal. This will require a self-motivated individual with strong critical-thinking and communication skills, who has the ability to work within a fast-paced, time-sensitive environment. Further, this individual must possess a deep understanding of the industry and the related financial products and services.
What you will do:
The Supervision Specialist will focus primarily on principal review, business oversight and other related tasks including but not limited to:
- Report directly to the Supervision Team Manager
- Perform principal review and supervision of securities transactions
- Provide principal review and supervision of direct business transactions
- Provide support and guidance to Financial Representatives and their staff as it relates to the business review and approval process
- Communicate and respond to Financial Representatives regarding supervision issues, compliance, industry rules, firm policies and procedures, etc.
- Work closely with other team members, departments, home office staff and field personnel to promote the overall objectives of the Firm
What you need to have:
- Bachelor’s degree
- FINRA Series 7, Series 24, Series 63 license required. FINRA 65 or 66 required within the first 6 months.
- 3+ years of relevant securities industry experience
- 2+ years supervisory and/or sales experience within the brokerage industry
- Strong working knowledge of industry products and services (stocks, bonds, mutual funds, UITs, ETFs, REITs, annuities, alternative investments, etc.)
- Deep understanding of industry rules governing transactions and suitability
- Excellent technology and communication skills
- The desire to be an enthusiastic and cooperative team player willing to contribute as necessary to promote the success of the department and the Firm as a whole
Really catch our eye with:
- Additional FINRA licenses (i.e. 4, 53, 65, 66 etc.) and/or insurance license
- Other industry certifications
- Prior experience with Pershing, Smarsh, Albridge, Protegent, Docupace
- Independent broker-dealer experience
Compensation:
The base annual salary range for this role is $56,000 - $86,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.
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