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About the role
Key responsibilities & impact- Manage day-to-day supervisory, compliance and operational aspects of the business
- Partner with Wealth Market Leader(s)
- Lead and implement control, supervisory and operational excellence initiatives
- Ensure timely and effective response to Compliance and Audit Reviews
- Participate in New Hire interview process
- Manage all trade corrections in cooperation with Operations, Compliance and WMLs
Requirements
What you’ll need- Bachelor's Degree preferred
- 5+ years industry experience
- FINRA Series 7, 24 and 66 (or equivalent) required
- 3+ years of relevant supervisory experience in brokerage, annuity, advisory, banking and lending activity
- Broad knowledge base and experience in Financial Services
- Strong Control and Operational experience and knowledge
Benefits
Comp & perks- Health insurance
- 401(k) matching
- Flexible work hours
- Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
- Banking benefits and discounts
- Career development
- Reward and recognition
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
supervisory experiencecompliance managementoperational excellencetrade correctionsaudit response
Soft Skills
leadershipcommunicationcollaboration
Certifications
FINRA Series 7FINRA Series 24FINRA Series 66