Provide daily guidance on supervision processes and support resolution of escalated or complex items
Coordinate procedure updates and support implementation of process improvements
Facilitate and support training initiatives related to product, regulatory, and organizational changes
Ensure completion of recurring audits, reporting, and applicable ad-hoc projects
Assist with daily operational activities to ensure appropriate coverage and manage workload spikes
Requirements
Bachelor’s degree in business or finance, or equivalent experience in wealth management or financial services
FINRA Series 7, 24, and 66 registrations required
FINRA Series 51 registration required within corporate established timelines
Experience in regulatory compliance and/or supervisory functions
Strong written and verbal communication skills with ability to escalate appropriately
Ability to work independently while influencing peers and internal partners
Experience coaching or mentoring team members in a supervisory environment
Strong analytical skills with ability to identify trends and present findings effectively
Ability to build strong cross-functional relationships and drive alignment
Demonstrated sound judgment and decision-making in high-pressure situations
Intermediate proficiency in Microsoft Office applications including Excel, PowerPoint, Teams, and SharePoint
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.