Empower

Lead Consultant, Supervision

Empower

full-time

Posted on:

Location Type: Remote

Location: United States

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Salary

💰 $79,400 - $112,175 per year

Job Level

Senior

About the role

  • 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.
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
regulatory compliancesupervisory functionsanalytical skillscoachingmentoring
Soft Skills
written communicationverbal communicationinfluencingrelationship buildingdecision-makingjudgment
Certifications
Bachelor's degreeFINRA Series 7FINRA Series 24FINRA Series 66FINRA Series 51