FINRA Supervisory Specialist Senior
📍 Multiple Locations Available
Birmingham, AL
Phoenix, AZ
Jacksonville, Miami, or Orlando, FL
Ann Arbor, MI
Bridgewater or Cherry Hill, NJ
Charlotte or Raleigh, NC
Cleveland or Columbus, OH
Pittsburgh, PA
Bellaire/Dallas, TX
📌 4 Openings Available
🏢 Industry: Financial Services
💼 Employment Type: Full-Time
🏠 Work Model: In-Office
💰 Compensation & Benefits
Base Salary: $45,000 – $142,000
Full benefits package included
No relocation assistance available
No visa sponsorship or STEM OPT support
🚀 Position Overview
A leading financial services organization is seeking experienced FINRA Supervisory Specialist Seniors to oversee supervisory activities supporting Financial Advisors and registered branches across assigned regions.
This role is responsible for:
Trade review
New account supervision
Surveillance monitoring
Compliance oversight
Risk management
Escalation handling
Advisor coaching and mentoring
The ideal candidate will bring strong FINRA supervisory expertise, deep knowledge of securities regulations, and experience working within wealth management or brokerage environments.
🔧 Key Responsibilities
Supervision & Trade Review
Supervise Financial Advisors (FAs) and registered branches to ensure compliance with:
FINRA regulations
Securities industry rules
Insurance regulations
Internal policies and procedures
Review:
Trades
New accounts
Surveillance alerts
Escalated supervisory matters
Identify patterns, trends, and sales practice concerns
Risk Management & Compliance
Diagnose and escalate compliance concerns appropriately
Support complaint resolution and branch/hub audits
Monitor:
Trade activity
Client activity
Communication reviews
New account approvals
Minimize operational, regulatory, and reputational risk
Advisor Coaching & Leadership
Provide proactive coaching and mentorship to:
Financial Advisors
Registered Representatives
New team members
Deliver training on:
Policies and procedures
Industry regulations
Investment practices
Documentation standards
Support onboarding and ongoing advisor development
Cross-Functional Collaboration
Partner closely with:
Operations
Compliance
Legal
Risk
Sales Management
Product teams
External partners
Resolve escalations and complex supervisory matters
Process Improvement & Strategic Initiatives
Lead supervision-related projects
Participate in department and enterprise initiatives
Update procedures and improve supervisory processes
Contribute to operational efficiencies and risk mitigation strategies
✅ Required Qualifications
Bachelor’s Degree preferred
3+ years of relevant financial services industry experience
Strong knowledge of:
Securities regulations
Wealth management supervision
Risk management
FINRA compliance
📜 Required Licenses & Certifications
✔ Series 7
✔ Series 24 (or 9/10)
✔ Series 66 (or 63 & 65)
Preferred Additional Licenses:
Series 4
Series 53
⭐ Preferred Experience
Wealth Management or Brokerage supervision
FINRA trade review
New account approvals
Branch supervision
Surveillance and escalation management
Complaint resolution
Regulatory audits
Advisor coaching and mentoring
🛠️ Core Skills
✔ FINRA Compliance
✔ Trade Surveillance
✔ Risk Management
✔ Wealth Management Supervision
✔ New Account Review
✔ Branch Audits
✔ Regulatory Compliance
✔ Escalation Management
✔ Financial Advisor Coaching
✔ Critical Thinking
✔ Decision Making
✔ Process Improvement
✔ Client Risk Mitigation
✔ Cross-Functional Collaboration
🎯 Ideal Candidate
The ideal candidate is a highly analytical and detail-oriented supervisory professional with deep FINRA and wealth management experience.
They will possess:
Strong regulatory and compliance knowledge
Excellent communication and coaching skills
Ability to identify risk trends and patterns
Experience handling escalated supervisory matters
Strong judgment and decision-making abilities
Ability to collaborate across business functions in a fast-paced environment
📝 Screening Questions
Do you currently hold Series 7, 24 (or 9/10), and 66 (or 63 & 65) licenses?
Do you have experience supervising Financial Advisors or registered branches?
Have you conducted trade reviews and handled escalated compliance matters?
Do you have experience working within wealth management or brokerage environments?
Are you comfortable working full-time onsite within one of the listed locations?
📋 Candidate Snapshot
Requirement
Details
Experience
5–7 years
Industry
Financial Services / Wealth Management
Education
Bachelor’s Degree preferred
Licenses
Series 7, 24/9-10, 66/63+65
Work Model
In-office
Travel
Occasional
Sponsorship
Not available
🌟 Why Join
Opportunity to join a leading wealth management organization
Collaborative and supportive in-office culture
Career growth and leadership development opportunities
Exposure to complex supervisory and compliance initiatives
Ability to influence operational excellence and advisor risk management
Competitive compensation and comprehensive benefits package