Compliance & Supervision Specialist (Series 7 required)

Job Description

The Company:

\n A prominent fortune 500 financial services firm with a nationwide network of independent financial advisors. This company offers an extensive selection of investment products and services to individuals, businesses, and institutions, with a strong emphasis on utilizing innovation and technology to cultivate client relationships.

What You Will Be Doing:

\n This role is part of the Compliance & Supervision Specialist serves as a key resource for advisors and internal partners by providing guidance on supervision-related platforms, industry regulations, and licensing or continuing education requirements. Team members act as the first point of contact for a wide range of inquiries, combining regulatory knowledge with a strong customer service approach.

\n Ideal Candidate:

\n We’re seeking collaborative, service-oriented professionals who thrive in fast-paced environments. Success in this role requires excellent communication skills, attention to detail, and the ability to handle complex questions while maintaining a positive and solution-focused mindset.

\n What You Can Expect:

\n Growth Opportunities: You'll receive consistent coaching and feedback with opportunities to expand your licensing and grow into more senior roles.

\n Professional Development:

\n Team members are encouraged to pursue additional licenses (such as the Series 66, 24, or 9/10) to support long-term career progression.

\n Supportive Culture: The team fosters a collaborative environment with readily available support, promoting shared learning and continuous improvement.

Requirements: \n

\n
• Licensing: FINRA SIE, Series 7 
\n
• 1+ year of recent customer service experience within financial services
\n
• Knowledge of FINRA, SEC, and state regulatory requirements
\n
• Knowledge of mutual funds, annuities, and general securities
\n
• Strong written and verbal communication skills
\n
• Quick learner with ability to adapt in a dynamic environment
\n
• Excellent multitasking, attention to detail, and follow-up skills
\n
• Solid problem-solving abilities
\n

\n

Preferences:

\n

\n
• Knowledge of securities licensing and insurance licensing 
\n
• Financial services experiences focused on investment products.
\n
• Proactive collaboration and service-based responses with business partners on escalated issues
\n
• Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, and SharePoint.
\n

\n

Equal Opportunity Employer:

\n Associate Staffing is an Equal Opportunity Employer and does not discriminate against any employee or applicant for employment based on race, color, religion, sex, national origin, age, disability, veteran status, sexual orientation, gender identity, or any other protected status under applicable law. We are committed to creating a diverse and inclusive work environment and welcome applicants from all backgrounds to apply for open positions with our company.

\n