FINRA Licensed Supervision Analyst

Job Summary

A company is looking for a Supervision Analyst to ensure compliance with firm policies and regulatory guidelines while building relationships with advisors.

Key Responsibilities

• Review new business activities and ensure compliance with firm policies and regulatory guidelines
• Conduct thorough reviews of transactional business, providing principal approval and resolving deficiencies
• Collaborate with the Supervision team on trends, regulatory changes, and case studies

Required Qualifications

• Bachelor's degree in business, finance, economics, or related field
• Minimum of 4 years in Financial Services
• FINRA Series 7, 66 (or 63 & 65), and 24 required
• Insurance license required or ability to obtain within the first year of hire
• FINRA Series 53 and Series 4 preferred or ability to obtain within 6 months of hire