We’re seeking a Supervision Specialist to join our team and help ensure compliance and operational excellence. This role offers an opportunity to leverage your industry expertise as a registered principal while supporting financial professionals and safeguarding firm standards. Ideal candidates are self-motivated with strong critical-thinking and communication skills, detail-oriented, and thrive in fast-paced, time-sensitive environments. A strong understanding of the financial services industry, including products and regulations, is essential. This is a hybrid role located in Dallas, TX.
What You Will Do
Reporting directly to the Supervision Team Manager, you will focus on principal review, business oversight, and related tasks, including but not limited to:
- Directly oversee assigned representatives by reviewing and approving customer new accounts, daily transactions, correspondence review and with Regulation Best Interest.
- Review alerts related to advisory account exceptions.
- Conduct customer account reviews to detect potential sales abuses.
- Discuss compliance concerns or potential violations with the financial representative.
- Provide education and training to Financial Professionals concerning regulatory, corporate and legal requirements, general product offerings, licensing issues as well as internal processes & procedures.
- Collaborate with team members, departments, home office staff, and field personnel to provide ad hoc supervision support and promote the firm’s overall objectives.
- Other duties as assigned, including and/or operations functions.
What you need to have:
- Bachelor’s degree.
- FINRA Series 7, 24, and 63 licenses required; Series 65/66 within 6 months; Series 53/52 within 1 year of hire. Series 4 preferred.
- 3+ years of relevant securities industry experience
- 2+ years of supervisory and/or sales experience within the brokerage and securities industry.
- Strong working knowledge of industry products and services (stocks, bonds, mutual funds, UITs, ETFs, REITs, annuities, alternative investments, etc.).
- Deep understanding of industry rules governing transactions and suitability.
- Excellent technology and communication skills.
- Ability to thrive in a fast-paced environment with strong prioritization and multitasking skills.
- Collaborative team player with a commitment to department and firm success.
- In-depth knowledge of financial products and services.
- Great customer service, communication and relationship skills.
What is nice to have:
- Additional industry certifications, Insurance License and FINRA Licenses.
- Experience with Pershing, Smarsh, Albridge, Protegent, Docupace, Salesforce, NetX360
- Independent broker-dealer experience.
Compensation:
The base annual salary range for this role is $73,000 to $103,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.
#LI-Hybrid
