Supervision Support Specialist (Series 7 Required)

Job Overview:

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

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

What to Expect:

Career Advancement: Continuous feedback and coaching to take your career to the next level in the direction you want to.

Support & Development: Our Supervision Support team focuses heavily on development and highly encourages team members to obtain additional licensing such as the 66, 24, or 9/10.

Team Environment: Our Supervision support team has a strong team dynamic with easy access to next level support.

Requirements:

• FINRA Licenses Requirement: SIE and Series 7
• Minimum 1 year of recent customer service experience in a financial services capacity
• Knowledge of mutual funds, annuities, general securities, and other financial products required.
• Knowledge of FINRA, SEC, and State rules and regulations required.
• Excellent oral and written communication skills.
• Ability to quickly learn and maintain knowledge in a very dynamic environment
• Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills.

Preferences:

• 1-2 year of financial services experiences focused on investment products.
• Previous working knowledge of securities licensing and insurance licensing 
• Proactive collaboration and service-based responses with business partners on escalated issues.
• Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, and SharePoint.