FREE ACCESS
5,000–10,000 jobs/day
See all jobs on Scoutfield
Search thousands of fresh jobs every day.
Discover
- Fresh listings
- Fast filters
- No subscription required
Create a free account and start exploring right away.
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in compliance supervision within the financial services industry, including knowledge of SEC, FINRA, and state regulations. Proficient in conducting audits, managing client complaints, and providing compliance training to financial professionals.
Highest-signal resume keywords
FINRA Series 7 RegistrationFINRA Series 65 RegistrationFINRA Series 24 RegistrationCompliance AuditsKnowledge of Securities Laws
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Compliance SupervisionRisk Assessment MethodsData InterpretationRegulation Best Interest (Reg BI)Audit and Compliance KnowledgeSales Practices ComplianceInsurance Regulatory KnowledgeAnalytical SkillsProblem-Solving SkillsKnowledge of Investment Products
Soft Skills
Communication SkillsCollaboration SkillsAbility to Manage Multiple PrioritiesCommitment to Continuous LearningAbility to Translate Complex Concepts
Certifications & Qualifications
FINRA Series 7FINRA Series 65FINRA Series 66FINRA Series 24FINRA Series 51FINRA Series 53
Industry Keywords
Financial ServicesInsurance IndustrySEC ComplianceFINRA ComplianceDOL DisclosuresClient Complaints ManagementCompliance TrainingRegulatory ChangesProcess ImprovementE-Verify
About the role
Key responsibilities & impact- Assist the Branch Manager with compliance supervision of Financial Professionals for the Branch
- Ensure suitable sales practices, account documentation, and books and records
- Comply with SEC, FINRA, state rules, and insurance regulations
- Oversee DOL disclosures and Regulation Best Interest (Reg BI)
- Monitor and maintain compliance surveillance reports
- Supervise advertising, correspondence, outside business activities, gifts and entertainment, and DBAs
- Manage and escalate client complaints
- Conduct Financial Professionals' compliance audits, including business, sales practices, and physical-location inspections
- Support compliance training and development of Branch Financial Professionals
- Provide ongoing guidance and direction to Financial Professionals and Branch staff
- Partner with BCM communities on system enhancements, testing, and process improvement initiatives
- Report to the Chief of Controls for the Central Complex
Requirements
What you’ll need- Bachelor's Degree or equivalent work experience
- 2+ years of experience in a compliance-related or compliance-supporting role within financial services or insurance industry
- FINRA Series 7 and Series 65 or 66 registrations, active upon hire
- FINRA Series 24 active upon hire or ability to obtain within 180 days of hire date
- FINRA Series 51 or 53 active upon hire or ability to obtain within 180 days of hire date
- Knowledge of life, annuity, investment, and advisory products
- Knowledge of federal, state, and local laws and regulations
- Analytical and problem-solving skills
- Ability to interpret data, identify trends, and support risk-based decision-making
- Communication and collaboration skills
- Ability to translate complex compliance concepts
- Ability to manage multiple priorities in a fast-paced, deadline-driven environment
- Commitment to continuous learning, process improvement, regulatory changes, and industry best practices
- Ability to make sound business decisions
- Knowledge of Audit and Compliance function
- Knowledge of insurance legal and regulatory environment
- Knowledge of risk assessment methods and techniques
- Knowledge of risk management processes, tools, and techniques
- Knowledge of securities laws and regulations
- Ability to comply with relevant laws and regulations
- Must participate in employment eligibility verification through E-Verify
Benefits
Comp & perks- Base salary increases
- Spot bonuses
- Short-term incentive compensation opportunities
- Medical insurance
- Dental insurance
- Vision insurance
- 401(k) plan
- Paid time off
- Hybrid work schedule
- Flexibility
- Growth opportunities
- Internal mobility
- Comprehensive compensation and benefits
- Support for overall well-being
- Culture of collaboration and teamwork