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