Supervision Support Professional (Series 7 required)

Associate Staffing; San Diego (CA); On-site; USD 60,000 - 90,000; Full time

Job summary

Associate Staffing is seeking a motivated supervision support specialist to assist financial advisors and internal partners by guiding them through supervision platforms, licensing requirements, and continuing education. The role emphasizes regulatory knowledge combined with strong customer service.

Ideal candidates bring one year of customer service in financial services, familiarity with FINRA/SEC rules, and the ability to communicate clearly while solving complex questions.

Qualifications

• Requires FINRA SIE and Series 7 licensing.
• 1+ year in customer service within financial services.
• Knowledge of FINRA, SEC, and state regulatory requirements.
• Knowledge of mutual funds, annuities, and general securities.

Responsibilities

• Serve as a primary resource on supervision-related platforms and regulatory requirements.
• Assist advisors and internal partners with licensing and continuing education needs.
• Provide clear, patient guidance to diverse inquiries while maintaining compliance.
• Collaborate with teams to improve processes and knowledge sharing.

Skills

Licensing: FINRA SIE

Licensing: Series 7

Customer service experience

Communication skills

Regulatory knowledge

Mutual funds knowledge

Attention to detail

Multitasking

Quick learner

Problem solving

Tools

Microsoft Office (Excel, Word, PowerPoint, SharePoint)

Job description

The Company

Prominent fortune 500 financial services firm with a nationwide network of independent financial advisors. This company offers an extensive selection of investment products and services to individuals, businesses, and institutions, with a strong emphasis on utilizing innovation and technology to cultivate client relationships.

What You Will Be Doing

This role is part of the Supervision Support team and serves as a key resource for advisors and internal partners by providing guidance on supervision-related platforms, industry regulations, and licensing or continuing education requirements. Team members act as the first point of contact for a wide range of inquiries, combining regulatory knowledge with a strong customer service approach.

Ideal Candidate

We’re seeking collaborative, service‑oriented professionals who thrive in fast‑paced environments. Success in this role requires excellent communication skills, attention to detail, and the ability to handle complex questions while maintaining a positive and solution‑focused mindset.

What You Can Expect

• Growth Opportunities: You'll receive consistent coaching and feedback with opportunities to expand your licensing and grow into more senior roles.
• Professional Development: Team members are encouraged to pursue additional licenses (such as the Series 66, 24, or 9/10) to support long‑term career progression.
• Supportive Culture: The team fosters a collaborative environment with readily available support, promoting shared learning and continuous improvement.

Requirements

• Licensing: FINRA SIE, Series 7
• 1+ year of recent customer service experience within financial services
• Knowledge of FINRA, SEC, and state regulatory requirements
• Knowledge of mutual funds, annuities, and general securities
• Strong written and verbal communication skills
• Quick learner with ability to adapt in a dynamic environment
• Excellent multitasking, attention to detail, and follow‑up skills
• Solid problem‑solving abilities

Preferences

• Knowledge of securities licensing and insurance licensing
• Financial services experiences focused on investment products
• Proactive collaboration and service‑based responses with business partners on escalated issues
• Experience with all Microsoft applications, particularly Excel, Word, Access, PowerPoint, and SharePoint

Equal Opportunity Employer

Associate Staffing is an Equal Opportunity Employer and does not discriminate against any employee or applicant for employment based on race, color, religion, sex, national origin, age, disability, veteran status, sexual orientation, gender identity or any other protected status under applicable law. We are committed to creating a diverse and inclusive work environment and welcome applicants from all backgrounds to apply for open positions with our company.