Supervision Consultant

Empower

Supervision Consultant overseeing Registered Representatives within Empower, ensuring compliance and contributing to process improvements. Responsible for supervision, coaching, and training for sales teams.

Posted 6/18/2026full-timeRemote • 🇺🇸 United StatesMid-LevelSenior💰 $72,200 - $101,975 per yearWebsite

About the role

Key responsibilities & impact

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

Requirements

What you’ll need

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

Comp & perks

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.

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

regulatory compliancesupervisioncall quality reviewssuitability reviewstrade reviewsself-auditsreport preparationissue remediationtraining developmenttechnical skills

Soft Skills

supervisioncoachingmotivational skillsinterpersonal skillsdetail orientedindependent workcollaborative teamwork

Certifications

Bachelor's DegreeFINRA Series 7FINRA Series 24FINRA Series 51FINRA Series 63FINRA Series 65FINRA Series 66