Supervision Analyst

AnalystAnalystFull TimeRemoteTeam 501-1,000Since 1997H1B No SponsorCompany Site LinkedIn

Location

United States

Posted

35 days ago

Salary

$80K - $90K / year

Bachelor Degree4 yrs expEnglish

Job Description

• Lead the daily review process for all lines of new business to ensure compliance with the firm, broker/dealer, and regulatory guidelines. • Stay fully informed of firm policies, Principal Review Guidelines and procedures, as well as regulatory changes. • Monitor, report, and enforce internal controls to ensure compliance. • Build and maintain positive working relationships with advisors, grounded in trust and respect. • Monitor and follow up on outstanding tasks on a timely basis. • Escalate issues to Supervision Manager as necessary.

Job Requirements

Bachelor's degree (or equivalent experience) in business; finance, economics or related field
Minimum of 4 years in Financial Services
FINRA Series 7, 66 (or 63 & 65), 24 required. FINRA Series 53 and Series 4 preferred or ability to obtain within 6 months of hire.
Insurance license (life, health/accident, variable lines of authority) required or ability to obtain within first year of hire.
Superior verbal and written communication skills.
Proficient with Microsoft Office Suite or related software.

Benefits

Medical, dental and vision coverage (Available to full-time employees and their families)
Health Savings Account (HSA) with employer contribution and Flexible Spending Accounts (FSA) for medical, dependent, and transit expenses
Life and AD&D insurance – employer paid and voluntary options
Short-term and long-term disability, workers compensation – employer paid
401k with match and profit sharing
Wellness programs and resources
Voluntary benefits, including pet insurance
18 days of paid time off (PTO), accrued annually (25 PTO days after 4 years of service)
12 paid holidays each year (10 pre-determined and 2 floating days)
Paid parental leave and paid caregiver leave (Caregiver leave available after 6 months of tenure)
Reimbursement for tuition, licensing, and other credentials (Available after meeting service requirements)