Regulatory & Licensing Support Specialist

Associate Staffing; Fort Mill (SC); On-site; USD 55,000 - 75,000; Full time

Job summary

Associate Staffing in Fort Mill, SC, is seeking a collaborative, service-oriented professional for a Supervision Support role within a Fortune 500 financial services context. You will guide advisors and internal partners on supervision platforms, regulations, and licensing or continuing education requirements.

The position emphasizes clear communication, attention to detail, and the ability to respond to complex questions with a positive, solution-focused mindset.

Qualifications

• 1+ year of recent customer service experience within financial services.
• Licensing: FINRA SIE, Series 7.
• Knowledge of FINRA, SEC, and state regulatory requirements.
• Knowledge of mutual funds, annuities, and general securities

Responsibilities

• Serve as main contact for advisors and internal partners on supervision platforms and regulatory questions.
• Guide licensing and continuing education requirements for team members.
• Provide high-quality customer service while resolving complex inquiries.

Skills

Communication

Customer service

Attention to detail

Multitasking

Problem-solving

Quick learner

Tools

Microsoft Excel

Microsoft Word

Microsoft Access

Microsoft PowerPoint

SharePoint

Job description

Associate Staffing in Fort Mill, SC, is seeking a collaborative, service-oriented professional for a Supervision Support role within a Fortune 500 financial services context. You will guide advisors and internal partners on supervision platforms, regulations, and licensing or continuing education requirements.

The position emphasizes clear communication, attention to detail, and the ability to respond to complex questions with a positive, solution-focused mindset.