Supervision Associate

The Supervision Associate supports the Managing Partner and Director of Supervision in shaping the culture of compliance in the office. You’ll support the DOS in implementing the supervision strategy and risk management approach for the office. You’ll prioritize effectively and will work within a team to accomplish network office goals. You’ll evaluate situation risk, make decisions, and build relationships. Finally, you’ll bring an enthusiasm for new ways of working, an eye for efficiency, and an ability to motivate others.

Responsibilities

· Perform review and supervision of multiple systems, including, but not limited to, flagged email and social media correspondence, transaction/trend supervision, and compliance monitoring systems

· Assist in completing on-site inspections, client file reviews, and compliance related interviews of Financial Representatives and their staff

· Help maintain books and records for the Offices of Supervisory Jurisdiction, Registered Branch Offices and other field locations as required by FINRA

· Support Financial Representatives and field staff, related to risk management, regulatory change, policies and procedures, and documentation requirements

· Support supervisory plans put in place to address non-standard behavior or to address sales practice concerns

· Support the direction of the Local Network Office compliance program

Qualifications

· Active FINRA SIE, Series 7, 9/10 and 63 registrations, or the ability to obtain within 6 months

· Active Life/Health licenses, or the ability to obtain within 1 month

· Associate or bachelor’s degree

· 1-5 years of industry experience preferred

· Strong relationship management skills

· Skilled in listening, partnering, and advocating

· Ability to evaluate problems and make decisions quickly based on risk

· Highly detailed and data-oriented with solid critical thinking, organizational and analytical skills.

· Ability to prioritize workload and seek support when appropriate, as well as work within a larger team.

· Strong written and oral communication skills

· Experience handling highly sensitive communications

Job Type: Full-time

Pay: $50,000.00 - $70,000.00 per year

Benefits:

• Dental insurance
• Health insurance
• Life insurance
• Paid parental leave
• Paid time off
• Professional development assistance
• Retirement plan
• Vision insurance

Work Location: In person

Salary : $50,000 - $70,000