Supervision Support Specialist

Our Supervision Support Professionals provide superior customer service as the first line of contact for Supervision technology walkthroughs, questions regarding industry rules and regulations, continuing education, and the requirements and processes for registration and licensing.

What We’re Looking For:

We seek strong collaborators who can deliver a world-class client experience. Ideal candidates thrive in a fast-paced environment, are client-focused, team-oriented, and execute in ways that foster creativity and continuous improvement.

What to Expect:

• Career Advancement: Continuous feedback and coaching to help you grow your career in the direction you choose.
• Support & Development: We emphasize professional development and strongly encourage team members to pursue additional licensing such as the Series 66, 24, or 9/10.
• Team Environment: A supportive team dynamic with easy access to next-level support.

Requirements:

• Licensing Requirements: FINRA SIE, Series 7 Top-Off, and Series 63 (or must be obtained within 90 days of employment)
• Minimum 1 year of recent customer service experience
• Excellent oral and written communication skills
• Ability to quickly learn and retain knowledge in a dynamic environment
• Strong multitasking, attention to detail, problem-solving, and follow-up skills
• Knowledge of mutual funds, annuities, general securities, and other financial products
• Familiarity with FINRA, SEC, and State rules and regulations

Core Competencies:

• Analytical
• Critical Thinker
• Reliable
• Team Player

Preferred Qualifications:

• 1–2 years of financial services experience focused on investment products
• Prior knowledge of securities and insurance licensing
• Experience collaborating on escalated issues with business partners
• Proficiency in Microsoft Office applications, especially Excel, Word, Access, PowerPoint, and SharePoint