Supervisory Control Associate

Jobtailor; Minnesota; On-site; USD 85,000 - 135,000; Full time

Job summary

Jobtailor in Minnesota seeks a Compliance Supervisor to oversee suitability reviews for new accounts within Private Client Group and Wealth Brokerage Services.

You will design risk processes, conduct compliance reviews, and collaborate with branch managers and advisors to ensure adherence to regulatory and firm policies while managing multiple projects with independence. The position requires FINRA licensing and strong analytical and communication skills.

Qualifications

• 6+ months of Supervisory Control, Risk Management, Insurance or related experience.
• FINRA Series 7 and 63 examinations completed or equivalent qualifying for registration
• FINRA supervisory license required
• FINRA Series 9/10 and 65/66 registrations to be completed within 90/180 days if not transferable
• Appropriate FINRA licenses must be maintained for employment
• Not eligible for visa sponsorship
• Strong analytical skills and communication abilities
• Ability to work independently and balance multiple projects

Responsibilities

• Supervise suitability reviews for new accounts in Private Client Group and Wealth Brokerage Services.
• Conduct compliance, supervision, control reviews, and related activities.
• Design risk processes and provide project management support.
• Identify issues and provide resolutions within Insurance or Private Client Groups.
• Perform ongoing regulatory, compliance, and operational reviews.

Skills

Analytical Skills

Conflict Management

Decision-Making Skills

Interpersonal Communication

Creative Problem-Solving

Education

FINRA Series 7

FINRA Series 63

FINRA Supervision License

FINRA Series 9/10

FINRA Series 65/66

Tools

Microsoft Office

Compliance Technology Tools

Job description

• Perform compliance supervision of suitability for new accounts opened by Private Client Group and Wealth Brokerage Services producing Branch Managers and Financial Advisors
• Participate in or conduct compliance, supervision, control reviews, administration, and technology activities
• Design risk processes and provide project management support
• Identify issues and provide resolution within Insurance or Private Client Groups
• Perform ongoing regulatory, compliance, and operational reviews
• Develop best practices and identify opportunities for additional synergies and efficiencies
• Use technological tools and reports to review sales activities for compliance with regulatory and firm policies
• Collaborate and consult with financial advisors, branch managers, supervisory principals, and Market Administration Management
• Receive management direction and exercise independent judgment

Requirements

• 6+ months of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through work experience, training, military experience, or education
• Successfully completed FINRA Series 7 and 63 examinations, or FINRA-recognized equivalents, sufficient to qualify for immediate FINRA registration
• FINRA supervisory license required
• FINRA Series 9/10 and 65 or 66 registration must be completed within 90 or 180 days if not immediately transferable
• Appropriate FINRA licenses must be obtained and maintained for ongoing employment
• Compliance with state law registration and licensing requirements
• Candidates must successfully complete a FINRA background check prior to hire
• Must meet ongoing regulatory obligations, including periodic screening and mandatory reporting
• Not eligible for visa sponsorship
• Strong analytical skills
• Conflict management and decision-making skills
• Verbal, written, and interpersonal communication skills
• Ability to work independently and balance multiple projects
• Flexibility to adjust plans quickly
• Intermediate Microsoft Office skills, including Word, Excel, and Outlook
• Independent judgment and creative problem-solving skills
• Ability to interact with branch associates, managers, advisors, and business units

Core Competencies

Demonstrates expertise in compliance supervision, risk management, and regulatory obligations within the financial services sector. Proficient in utilizing technological tools for compliance reviews and project management while maintaining strong communication and analytical skills.

Highest-signal resume keywords

• FINRA Series 7 Examination
• FINRA Series 63 Examination
• FINRA Supervisory License
• Risk Management Consulting
• Compliance Supervision

Hard Skills

• Regulatory Compliance
• Risk Processes Design
• Operational Reviews
• Project Management
• Sales Activity Review

Soft Skills

• Analytical Skills
• Conflict Management
• Decision-Making Skills
• Interpersonal Communication
• Creative Problem-Solving

Certifications & Qualifications

• FINRA Series 9/10 Registration
• FINRA Series 65/66 Registration

Industry Keywords

• Private Client Group
• Wealth Brokerage Services
• Insurance Brokerage
• Suitability Compliance
• Branch Management

Tools & Technologies

• Microsoft Office
• Compliance Technology Tools