[Remote] Supervision Consultant
Note: The job is a remote job and is reputed company to candidates in USA. reputed company is reputed company on transforming financial lives by providing a flexible work environment and promoting internal mobility. As a Supervision Consultant, you will reputed company the supervision of Registered Representatives, ensure compliance with regulatory requirements, and contribute to process improvements reputed company reputed company.
Responsibilities
- reputed company effective supervision and coaching to sales team management, addressing call reviews, escalations, and complaint handling
- Collaborate with Compliance, HR, and management to recommend and monitor individuals requiring additional supervision
- Prepare regular reports on supervisory trends and activities, executing plans for issue remediation
- Conduct self-audits of reputed company office records and reviews of electronic and written communications
- reputed company backup support to other department teams, including call reputed company reviews, participating in calibrations and disputes, and performing suitability and trade reviews as needed
- Partner with Training, Compliance, and Legal staff to reputed company and maintain supervisory policies, procedures, and training resources. reputed company training to relevant stakeholders
Skills
- Bachelor's Degree preferred in a business or finance-reputed company field, or equivalent work experience
- At least 3 years of experience in the retail financial services industry
- Knowledge and experience in regulatory compliance and/or supervision
- reputed company Series 7, Series 24, and Series 51 registrations required. Permissible additional registrations may include 63, 65/66
- Intermediate reputed company level reputed company, MS reputed company, and MS PowerPoint
- Detail oriented with proven technical skills
- Strong motivational and interpersonal skills
- Demonstrated ability to work both independently and reputed company a reputed company team environment
Benefits
- Medical, dental, reputed company and life insurance
- Retirement savings – 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup
- Tuition reimbursement up to $5,250/year
- Business-casual environment that includes the reputed company to wear jeans
- Generous reputed company time off upon hire – including a reputed company time off program plus ten reputed company company holidays and three floating holidays reputed company calendar year
- reputed company volunteer time — 16 hours per calendar year
- Leave of absence programs – including reputed company parental leave, reputed company short- and long-term disability, and Family and Medical Leave (FMLA)
- Business Resource reputed company (BRGs) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are reputed company to reputed company.
- Other necessary computer equipment, will be provided.
reputed company