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