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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in transaction review and compliance, ensuring adherence to FINRA and SEC regulations while providing supervision support and training for Financial Professionals. Capable of managing multiple tasks in a fast-paced environment with strong analytical and problem-solving skills.
Highest-signal resume keywords
Transaction ReviewCompliance SupportFINRA Series 7FINRA Series 24Analytical Skills
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Transaction ReviewSuitability ReviewRisk AssessmentCompliance MonitoringQueue ManagementAccount ReviewInternal ControlsProject ManagementFinancial Products KnowledgeBest Interest Review
Soft Skills
Problem-SolvingTime ManagementTeam CollaborationCommunicationPrioritization
Certifications & Qualifications
FINRA Series 7FINRA Series 24FINRA Series 63FINRA Series 65FINRA Series 66FINRA Series 4FINRA Series 53
Industry Keywords
FINRASECComplianceBrokerageAdvisoryDirectly Held TransactionsOutside Business ActivitiesAnnual Compliance MeetingFirm Element RequirementsSupervision
About the role
Key responsibilities & impact- Review Brokerage, Advisory and Directly held transactions in back-office systems
- Ensure transactions are in the client’s best interest and comply with firm policies and procedures
- Review Financial Professionals’ requests for Outside Business Activities and Account Reviews/Acceptance
- Coordinate annual firm requirements including the Annual Compliance Meeting, Annual Compliance Questionnaire and Firm Element requirements
- Provide consistent, accurate and timely Supervision support across various engagement models
- Conduct transaction and account reviews for all transactions for direct reports
- Review queue management reports to ensure proper business and sales practices
- Monitor reports and enforce internal controls for compliance with industry standards and firm policies
- Collaborate with the Regional Supervision Team, Supervision, Compliance and other field-facing partners
- Maintain relationships with OSJ Managers and support staff while communicating firm and industry requirements
- Support education, development and training of newly affiliated Financial Professionals, delegates and staff
- Serve as home office liaison and primary contact for Financial Professionals on supervision issues
- Identify and assess risk-based reviews, determine violations and take corrective action
- Manage delegated and collaborative projects, tracking completion of compliance activities and renewals
Requirements
What you’ll need- Minimum of high school diploma or equivalent is required
- Minimum three years related experience conducting suitability/best interest review of transactions or relevant industry experience understanding current products and procedures
- FINRA Series 7, Series 24 and Series 63/65 or 66 required
- Understanding of relevant FINRA and SEC
- Ability to effectively handle and prioritize multiple tasks in a fast-paced team environment to meet defined deadlines
- Ability to work in a time-sensitive environment
- Excellent analytical and problem-solving skills
- FINRA Series 4 and/or 53 preferred; could be obtained at a later date
Benefits
Comp & perks- Annual bonus
- Health insurance
- Vision insurance
- Dental insurance
- 401k
- Paid time away
- Volunteer days