Senior Supervision Manager

Jobtailor; Maryland; On-site; USD 90,000 - 120,000; Full time

Job summary

Jobtailor is seeking a compliance and governance professional to oversee workflows, regulatory compliance, and auditing processes across our operations in Maryland. The role includes supervising reviews, enterprise alerting, and ensuring remediation of identified issues.

The ideal candidate has a strong auditing background, familiarity with FINRA licenses, and willingness to travel. Proficiency with Word, Excel and PowerPoint is required to support training and reporting.

Qualifications

• Bachelor’s degree or equivalent work experience.
• Must have FINRA Series 7, 8 or 9/10, 63/65 or 66 to be considered for the role (in lieu of the 8 or 9/10 we could consider candidates holding all of the following licenses: 4, 24, and 53)
• Familiarity with compliance and regulatory issues
• Strong auditing background with willingness to travel
• Familiarity with Microsoft Word, Excel and PowerPoint

Responsibilities

• Oversees the development and maintenance of workflows, including mandated supervisory reviews and enterprise alerts.
• Monitors call center activities or financial center's ability to handle and resolve complaints.
• Coordinates control and audit remediation, mock audits of books and records, onboarding of registered associates, and communication and tracking of key performance objectives.
• Identifies risk, drives operational excellence, and develops front-line unit proficiency through supplemental training, active coaching & remediation of policy and procedure violations.

Skills

Workflow Development

Regulatory Compliance

Auditing

Training & Coaching

Communication

Problem-Solving

Education

Bachelor’s Degree or equivalent work experience

Tools

Microsoft Word

Microsoft PowerPoint

Microsoft Excel

Job description

• oversees the development and maintenance of workflows, including mandated supervisory reviews and enterprise alerts
• monitors call center activities or financial center's ability to handle and resolve complaints
• coordinates control and audit remediation, mock audits of books and records, onboarding of registered associates, and communication and tracking of key performance objectives
• identifies risk, drives operational excellence, and develops front-line unit proficiency through supplemental training, active coaching & remediation of policy and procedure violations

Requirements

• Bachelor’s Degree or equivalent work experience
• Must have FINRA Series 7, 8 or 9/10, 63/65 or 66 to be considered for the role (in lieu of the 8 or 9/10 we could consider candidates holding all of the following licenses: 4, 24, and 53)
• Familiarity with compliance and regulatory issues
• Strong auditing background with willingness to travel
• Familiarity with Microsoft Word, Excel and PowerPoint

Core Competencies

Demonstrates expertise in overseeing workflows, compliance, and auditing processes while driving operational excellence and risk management. Proficient in training and coaching front-line units to enhance performance and adherence to policies.

Highest-signal resume keywords

• FINRA Series 7
• FINRA Series 63
• Auditing Experience
• Compliance Familiarity
• Microsoft Excel

ATS Optimization Keywords

Hard Skills

• Workflow Development
• Operational Excellence
• Risk Identification
• Policy Remediation
• Training and Coaching

Soft Skills

• Communication
• Problem-Solving

Certifications & Qualifications

• FINRA Series 8
• FINRA Series 9/10
• FINRA Series 4
• FINRA Series 24
• FINRA Series 53

Industry Keywords

• Regulatory Issues
• Call Center Monitoring
• Audit Remediation
• Key Performance Objectives
• Onboarding

Tools & Technologies

• Microsoft Word
• Microsoft PowerPoint