Supervision Consultant

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
• What will set you apart
• 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
• #LI-Remote
• #PJPW
• ***Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment visa at this time, including CPT/OPT.***
• What we offer you
• We offer an array of diverse and inclusive benefits regardless of where you are in your career. We believe that providing our employees with the means to lead healthy balanced lives results in the best possible work performance.
• 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.
• Base Salary Range
• $72,200.00 - $101,975.00
• Equal opportunity employer - Drug-free workplace

Benefits

Additional Information

Our vision for the future is based on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We have a flexible work environment, and fluid career paths. We not only encourage but celebrate internal mobility. We also recognize the importance of purpose, well-being, and work-life balance. Within Empower and our communities, we work hard to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them. Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself. As a Supervision Consultant, you will support the general supervision of Registered Representatives and Investment Advisor Representatives. In this role, you'll play a key part in overseeing supervisory procedures, records, and education, ensuring compliance with regulatory requirements, and contributing to process improvement.

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