Lead Consultant, Supervision
Location
United States
Posted
9 hours ago
Salary
$79.4K - $112.2K / year
Bachelor DegreeExperience acceptedEnglish
Job Description
• 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
Job 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.
