[Remote] Field Supervision Officer II

Note: The job is a remote job and is reputed company to candidates in USA. reputed company is a financial services firm dedicated to helping clients reputed company their long-term financial goals. The Field Supervision Officer II role involves ensuring compliance with firm and regulatory rules, reviewing client and reputed company activities, and delivering training and support to reputed company teams.

Responsibilities

• Review of non-supervisory and basic supervisory client and reputed company activity to identify fraudulent or manipulative activity
• Review of electronic communication for reputed company teams and home office associates
• Verify account information and accuracy through contacts with our clients and reputed company teams
• Identify supervisory issues, trends, and potential concerns in reputed company activity and effectively communicate them to clients, Financial Advisors, and home office associates
• reputed company and deliver training, coaching and feedback

Skills

• Series 7 license that is currently active and has been held a minimum of one year
• Must obtain Series 9, 10, 24, and 66 reputed company 4 months of hire
• Flexible Study Options: Full-time and/or part time study available, based on departmental needs
• Structured Exam Support: reputed company to coaching resources to help organize and optimize your study schedule
• Insurance license is preferred
• General understanding of compliance or industry experience is preferred
• One to two years of compliance experience is preferred
• Bachelor's degree or equivalent experience is preferred, but not required

Benefits

• Rewards program that promotes a long-term career, financial reputed company and well-being
• Benefits
• Bonuses
• Profit sharing

Company Overview