FINRA Licensed Field Supervisor

Providing oversight and monitoring for dual-registered representatives, the full-time remote FINRA Licensed Field Supervisor will ensure compliance with regulatory standards, review financial plans, and conduct quality reviews while coordinating with various teams. Key responsibilities Review financial plans and product recommendations to ensure compliance with firm standards and regulations Conduct quality reviews, respond to inquiries, and support surveillance monitoring and customer complaint research Coordinate with sales leadership, compliance partners, and operations to facilitate business transitions and reporting requirements Required qualifications Bachelor's degree or equivalent work experience in the financial services industry Active FINRA Series 7, 24, & 66 (or 65 & 63) licenses or ability to obtain within 6 months 4+ years of related supervision or oversight experience Knowledge of retirement plans and securities products, including Stocks, Bonds, ETFs, and Mutual Funds Ability to work independently in a fast-paced environment while managing multiple tasks