Remote Advice Controls %26 Operations Manager

Talentify.io; United States; Remote; USD 70,000 - 81,000; Full time

Job summary

A leading financial services company is looking for a Compliance Supervisor to oversee operational processes for a team of Financial Professionals. This role emphasizes compliance monitoring and staff training. The ideal candidate will bring significant experience with FINRA regulations and strong client relationship skills to foster a collaborative environment.

Benefits

Comprehensive benefits package

Opportunities for growth and internal mobility

Performance-based compensation

Qualifications

• 3+ years of experience with FINRA Series 7 and Series 63.
• Ability to obtain FINRA Series 24 license within 90 days of hire.
• Thorough knowledge of life, annuity, and investment products.

Responsibilities

• Supervise compliance and operational processes for 75+ Financial Professionals.
• Monitor compliance surveillance reports and conduct audits.
• Manage renewals for the Advisor Assist Program.

Skills

Client relationship building

Analytical skills

Verbal communication

Written communication

Education

FINRA Series 7

FINRA Series 63

FINRA Series 24 (within 90 days)

Job description

Employer Industry: Financial Services

Why consider this job opportunity:
- Salary up to $70,000
- Performance-based compensation including base salary increases, spot bonuses, and short-term incentive opportunities
- Comprehensive benefits package including medical, dental, vision, 401(k) plan, and paid time off
- Opportunities for growth and internal mobility within the organization
- Work in a collaborative and supportive environment focused on personal and professional development

What to Expect (Job Responsibilities):
- Supervise compliance and operational processes for 75+ Financial Professionals in the Remote Advice team
- Monitor and maintain compliance surveillance reports in partnership with the Branch Controls Manager
- Conduct compliance audits and provide ongoing training for Financial Professionals
- Manage renewals and sentiment for the Advisor Assist Program, creating reports for client retention
- Identify emerging client and advisor needs while contributing to operational strategies

What is Required (Qualifications):
- 3+ years of experience with FINRA Series 7 and Series 63 or equivalent
- Ability to obtain FINRA Series 24 license within 90 days of hire
- Thorough knowledge of life, annuity, and investment products, including proprietary and non-proprietary offerings
- Superior client relationship building and coaching skills
- Excellent verbal and written communication skills, with the ability to interpret documents and discuss investments

How to Stand Out (Preferred Qualifications):
- Strong analytical skills and the ability to work effectively in various situations
- Excellent interpersonal and communication skills
- Experience in managing multiple projects and initiatives
- Ability to influence and motivate team members to achieve goals
- Leadership and conflict resolution skills

#FinancialServices #CareerOpportunity #CompetitivePay #GrowthOpportunities #TeamCollaboration

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