The Supervision Officer supports Supervisory Managers in the field by executing designated supervisory duties, thereby facilitating standardized oversight and enhanced focus on the investment sales process, while assuring compliance with securities industry regulations and firm policies.

Job responsibilities:

• Identify, evaluate, document, and decision trades flagged as exceptions for suitability in accordance with FINRA rules and industry regulations
• Review and assess suitability associated with select new accounts and/or products
• Escalate supervisory issues as necessary to Supervisory Managers in the field, providing relevant recommendations as to appropriate actions to be taken
• Partner with Supervisory Managers in the field to help them resolve exceptions in a timely manner

Required qualifications, capabilities, and skills

• Strong interpersonal, verbal, & written communication skills
• Effective organization skills & attention to detail
• Good research, analytical and problem solving skills
• Computer/navigational skills (Microsoft Office)
• Ability to make sound, risk-based decisions
• Proven ability to work in a dynamic team environment that is consistently evolving
• Effective time management skills in order to meet service level agreements and/or project deadlines
• At least one year experience in the securities/investment industry
• FINRA Series 7 minimum licensing requirement in order to be considered
• FINRA Series 9, 10, 66 (or 63 and 65), and appropriate State Life & Health Insurance license required within a specified time frame
• FINRA Series 24, 53 and 4 may replace the requirements for Series 9 and 10

Preferred qualifications, capabilities, and skills

• Retail brokerage and/or annuity experience strongly preferred