FINRA Supervisory Specialist Senior – Multiple U.S. Locations

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

1. Do you currently hold Series 7, 24 (or 9/10), and 66 (or 63 & 65) licenses?

2. Do you have experience supervising Financial Advisors or registered branches?

3. Have you conducted trade reviews and handled escalated compliance matters?

4. Do you have experience working within wealth management or brokerage environments?

5. 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