FINRA Licensed Supervisory Consultant
Virtual Vocations Inc
To support the oversight of registered representatives in a wholesale broker-dealer environment, the full-time remote FINRA Licensed Supervisory Consultant will manage high-volume supervision tasks, risk management, and operational execution while ensuring compliance with regulatory requirements. Key responsibilities Reviewing and approving high-volume supervision items, including non-cash compensation and related orders Monitoring compliance with gift and entertainment policies and conducting surveillance of communications Providing supervision guidance and conducting training sessions with registered representatives Required qualifications Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's) 3-5+ years in broker-dealer supervision, compliance, or related experience Strong understanding of FINRA supervision requirements FINRA SIE and FINRA Series 6 or 7 required at time of hire FINRA Series 63 obtained within 120 days of start date; Series 24 or Series 26 within 90 days of start date
Vacancy posted 3 days ago
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