Design, update, and maintain onboarding and refresher training programs for licensed financial advisors.
Deliver live and virtual training sessions and structured coaching engagements.
Develop training materials, including presentations, job aids, scenarios, and microlearning content.
Apply quality standards to conduct call monitoring and interaction reviews for licensed advisors.
Identify performance gaps related to disclosures, suitability, and client communication.
Provide feedback and coaching to improve advisor effectiveness and reduce compliance risk.
Document quality findings and training activities to support supervisory oversight.
Partner with Compliance and business teams to ensure training content aligns with firm policy.

Bachelor’s degree in business or finance
Two years of experience in financial services training, quality assurance, or performance management
Experience delivering training or coaching for licensed professionals
Working knowledge of Financial Industry Regulatory Authority (FINRA) rules and advisor supervision standards
Proficient in MS Word, Excel, and PowerPoint
Experience in brokerage, wealth management, insurance, or investment advisory environments (Preferred)
Familiarity with learning management systems, eLearning tools, or call monitoring platforms (Preferred)
FINRA Series 6 (Preferred)
FINRA Series 65 or equivalent (Preferred)

Competitive Pay
Bonus for Eligible Employees
Benefits Package
Pension Plan
401k Match
Employee Stock Purchase Plan
Tuition Reimbursement
Disability Insurance
Medical Insurance
Dental Insurance
Vision Insurance
Employee Discounts
Career Training & Development Opportunities
Health and Work/Life Balance Benefits
Paid Time Off starting at 160 hours annually for employees in their first year of service.
Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).
Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
Parental Leave – fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.
Adoption Assistance
Employee Assistance Program
Back-Up Care Program
PTO for Volunteer Hours
Employee Matching Gifts Program
Employee Resource Groups
Inclusion and Diversity Programs
Employee Recognition Program
Referral Bonus Programs

Intermediate Advisor – Training and Quality Assurance Consultant

Key skills