What are the responsibilities and job description for the Supervision Specialist position at Candidate Experience site?
We’re seeking a Supervision Specialist to join our team and help ensure compliance and operational excellence. This role offers an opportunity to leverage your industry expertise as a registered principal while supporting financial professionals and safeguarding firm standards. Ideal candidates are self-motivated, detail-oriented, and thrive in fast-paced, time-sensitive environments. A strong understanding of the financial services industry, including products and regulations, is essential.
This is a hybrid role based in one of our office locations: El Segundo, CA or Dallas, TX.
What You Will Do
Reporting directly to the Supervision Team Manager, you will focus on principal review, business oversight, and related tasks, including:
- Conduct principal review of trades, new business applications, and correspondence.
- Review alerts related to advisory account exceptions.
- Provide guidance to financial professionals and their staff on new business review, supervision issues, compliance, industry rules, and firm policies.
- Collaborate with team members, departments, home office staff, and field personnel to provide ad hoc supervision support and promote the firm’s overall objectives.
What you need to have:
- Bachelor’s degree.
- FINRA Series 7, 24, and 63 licenses required; Series 65/66 within 6 months; Series 53/52 within 1 year of hire.
- 2 years of supervisory and/or sales experience within the brokerage and securities industry.
- Strong working knowledge of industry products and services (stocks, bonds, mutual funds, UITs, ETFs, REITs, annuities, alternative investments, etc.).
- Deep understanding of industry rules governing transactions and suitability.
- Excellent technology and communication skills.
- Ability to thrive in a fast-paced environment with strong prioritization and multitasking skills.
- Collaborative team player with a commitment to department and firm success.
- Previous compliance, supervisory, and/or sales experience within the industry.
- In-depth knowledge of financial products and services.
What is nice to have:
- Additional industry certifications.
- Experience with Pershing, Smarsh, Albridge, Protegent, Docupace.
- Independent broker-dealer experience.
Compensation:
The base annual salary range for this role is $64,000 to $110,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.
#LI-Hybrid
Salary : $64,000 - $110,000