Senior Supervisory Analyst - Wealth Compliance

U.S. Capital Wealth; Houston (TX); On-site; USD 90,000 - 130,000; Full time

Benefits offered by this job

Medical, dental, vision, life

Disability insurance

401(k) & PTO

Bonus potential

Professional accreditation support

Job summary

U.S. Capital Wealth (USCW) in Houston, TX seeks a Supervisory Analyst to assist the Branch Manager and Control Officer with daily supervision, record-keeping, and operations.

The role requires FINRA licensing familiarity, 5+ years in financial services, and strong Excel/CRM expertise to review activities and maintain compliance. This is a full-time in-office position supporting a growing advisory team.

Qualifications

• Bachelor’s degree in business administration, Finance, or related field.
• 5+ years of experience in financial services in sales supervision, operations, and/or compliance.
• Proficiency in Microsoft Office Suite and financial software with emphasis on Excel.
• Excellent interpersonal and communication skills.
• Strong organizational and time management skills with great attention to detail.
• Ability to work independently and collaboratively in a dynamic environment.
• Knowledge of regulatory requirements and industry best practices.
• Adaptability and commitment to professionalism and client service.

Responsibilities

• Supervision and Support: oversee day-to-day operations (new accounts, email review, advertising & marketing material, seminars, webinars) and guide team members.
• Compliance/operational oversight: monitor advisor activities to ensure regulatory compliance and internal policies.
• Collaborate with Compliance: provide feedback on current and future policies and procedures.
• Audit assistance: assist with FINRA or SEC audits as needed.
• Administrative: daily support including phone coverage, supervisory logs, and ad hoc report generation.
• Back-up coverage: serve as substitute for Branch Manager or Control Officer as needed.

Skills

Interpersonal communication

Organizational skills

Independent & collaborative

Attention to detail

Education

Bachelor’s degree in business administration or finance

Tools

Microsoft Office Suite

Excel

CRM software

Portfolio management software

Job description

U.S. Capital Wealth (USCW) in Houston, TX seeks a Supervisory Analyst to assist the Branch Manager and Control Officer with daily supervision, record-keeping, and operations.

The role requires FINRA licensing familiarity, 5+ years in financial services, and strong Excel/CRM expertise to review activities and maintain compliance. This is a full-time in-office position supporting a growing advisory team.