FINRA Licensed Field Supervisor
Virtual Vocations Inc
To ensure compliance and deliver a high-quality customer experience, the full-time FINRA Licensed Field Supervisor will review complex securities transactions, collaborate with Compliance and Operations, and support the training of new team members while working remotely. Key responsibilities Review and approve field supervision items submitted by Financial Professionals Collaborate with Broker Dealer Operations and Compliance to address and resolve formal customer complaints Assist in the scheduling and preparation for annual visits and maintain up-to-date knowledge of securities products and regulations Required qualifications FINRA Series 7, 24, & 66 required; Series 4 & 53 preferred Bachelor's degree or equivalent with 4+ years of relevant experience Strong knowledge of securities products including Stocks, Bonds, Mutual Funds, & Annuities Must be a FINRA associated person, requiring fingerprinting and a full background check Ability to work independently in a fast-paced environment to meet deadlines
Vacancy posted 4 hours ago
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