Supervision Analyst
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Job Description
Supervision Analyst responsible for leading compliance reviews in financial services. Collaborating with teams to ensure adherence to regulatory guidelines while fostering relationships with advisors.
Responsibilities:
- 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.
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)
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