We are an equal opportunity employer with a commitment to diversity. All individuals, regardless of personal characteristics, are encouraged to apply. All qualified applicants will receive consideration for employment without regard to age, race, color, national origin, ancestry, sex, sexual orientation, gender, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law.
Supervision Consultant
Location
United States
Posted
3 days ago
Salary
$72.2K - $102.0K / year
Seniority
Senior
Job Description
Supervision Consultant
Empower
• Provide 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 branch office records and reviews of electronic and written communications • Provide backup support to other department teams, including call quality reviews, participating in calibrations and disputes, and performing suitability and trade reviews as needed • Partner with Training, Compliance, and Legal staff to develop and maintain supervisory policies, procedures, and training resources. • Provide training to relevant stakeholders
Job Requirements
- Bachelor's Degree preferred in a business or finance-related 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
- FINRA Series 7, Series 24, and Series 51 registrations required. Permissible additional registrations may include 63, 65/66
- Intermediate skill level MS Word, MS Excel, and MS PowerPoint
- Detail oriented with proven technical skills
- Strong motivational and interpersonal skills
- Demonstrated ability to work both independently and within a collaborative team environment
Benefits
- Medical, dental, vision 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 option to wear jeans
- Generous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar year
- Paid volunteer time — 16 hours per calendar year
- Leave of absence programs – including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA)
- Business Resource Groups (BRGs) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.
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