Field Supervisor 2
Core
Review complex securities transactions and new business submissions to ensure compliance with firm standards and regulations while managing field supervision items and customer complaints.
Role type
Senior IC field supervisor (securities)
Builds
Compliance reviews and operational oversight for securities products
Domain
Financial services / Securities
Required skills
FINRA Series 7, 24, 66 (63+65) licenses, 4+ years financial services experience, prior supervising financial professionals, knowledge of Investment Advisers Act of 1940, FINRA regulations, securities products analysis
Preferred skills
FINRA Series 4, 53, Life & Health insurance licenses, dual-registered Broker-Dealer/RIA experience, project management
Technologies
Principal Securities systems, social media review platforms, electronic check log systems
Responsibilities
Review complex transactions for regulatory compliance, manage field supervision items (social media, correspondence, logs), liaise between Supervision and Operations, research and settle customer complaints, assist in annual visit scheduling
Seniority
Senior, hands-on IC