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Supervision Specialist

Advisor Group locationPhoenix, AZ
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39 positions
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Web Mktg Technology Specialist

Advisor Group locationPhoenix, AZ
39 positions
info linkReport a probelm Originally Posted : March 20, 2021 | Expires : April 19, 2021

Details

Salary
Unspecified
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Job Location
Phoenix, AZ, United States

Description

Field Supervision Opportunity in Financial Services

Supervision Specialist


Location:  ALL LOCATIONS & REMOTE

Summary:

This position will help facilitate several Field Supervision processes to ensure requirements are met by Financial Professionals, and track and monitor multiple workflows. 

Responsibilities:

  • Monitoring and tracking of various Financial Professional supervision and compliance requirements including blotter resolution, aged supervisory alerts, supervisory logs and surveillance escalations.
  • Assists internal and external business partners with the gathering and reporting of information from various supervision systems.
  • Develops and maintains relationships with team members and Financial Professionals.
  • Works to identify red flag items to be escalated to management.
  • Works with team members to address sales practice concerns, including training, or issuance of disciplinary letters.
  • Provides extraordinary customer service to Financial Professionals and Home Office Staff, handle incoming calls (direct and via a department call queue) and respond to questions.
  • Identify and route department work items in Salesforce and shared department email box.
  • All other duties as assigned

Education Requirements:

  • Associate degree from an accredited college is preferred.  Minimum of high school diploma or equivalent is required

Basic Requirements:

  • Minimum 2 years of administrative work in a high paced environment
  • Strong professional communication skills to effectively communicate with advisors and home office staff.
  • Ability to effectively handle and prioritize multiple tasks in a fast-paced environment to meet defined deadlines.
  • Strong analytical and problem-solving skills.
  • Proven experience using MS Word and Excel as well as an aptitude to use new software as required.
  • Knowledge of relevant FINRA and SEC rules and regulations
  • Ability to navigate multiple computer programs simultaneously

Preferred Requirements:

  • At least one-year experience in the financial services industry
  • FINRA Series 6, 7 or 99 preferred
  • FINRA SIE designation
  • MS Access, Outlook Scheduling

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