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Supervision Specialist

Advisor Group locationPhoenix, AZ
39 positions

Web Mktg Technology Specialist

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


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Job Location
Phoenix, AZ, United States


Field Supervision Opportunity in Financial Services

Supervision Specialist



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


  • 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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