Field Supervision Opportunity in Financial Services
Location: ALL LOCATIONS & REMOTE
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
- Associate degree from an accredited college is preferred. Minimum of high school diploma or equivalent is required
- 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
- At least one-year experience in the financial services industry
- FINRA Series 6, 7 or 99 preferred
- FINRA SIE designation
- MS Access, Outlook Scheduling