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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in Risk Management, Compliance, and Financial Advisory practices, with a strong ability to analyze complex financial products and develop actionable insights. Proficient in conducting thorough reviews and collaborating with various stakeholders to enhance operational efficiency and mitigate risks.
Highest-signal resume keywords
FINRA Series 7, 9/10, And 63FINRA Supervisory LicenseRisk Management ConsultingStrong Analytical SkillsMicrosoft Office Proficiency
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Risk ManagementComplianceFinancial AnalysisProduct KnowledgeData AnalysisRegulatory GuidanceInvestment StrategiesSupervisory ControlDocumentationTrend Identification
Soft Skills
Strong Verbal CommunicationStrong Written CommunicationCritical ThinkingCollaboration
Tools & Technologies
Microsoft Office SuiteExcel
Certifications & Qualifications
FINRA Series 7FINRA Series 9/10FINRA Series 63FINRA Supervisory License
Industry Keywords
Financial AdvisorsInsurance BrokerageProperty InsuranceCasualty InsuranceInvestment ProductsRegulatory RequirementsCompliance StandardsRisk MitigationOperational EfficiencyBackground Check
About the role
Key responsibilities & impact- Review supervision alerts and monitoring activities
- Investigate identified concerns and drive timely resolution to mitigate risk and ensure compliance
- Conduct in-depth reviews of Financial Advisors’ books of business, practices, client accounts, and households
- Review and analyze complex and high-risk products and investment strategies
- Monitor and evaluate Financial Advisor action plans
- Conduct ongoing and ad hoc targeted reviews using independent judgment
- Gather, analyze, and interpret data to identify trends and develop insights
- Present findings and recommendations through detailed analysis and reporting
- Evaluate controls, processes, tools, and resources
- Recommend improvements to efficiency, risk management, and technology solutions
- Consult on policies, procedures, controls, tools, and training
- Research complex issues and recommend solutions based on regulatory guidance, industry best practices, and business needs
- Collaborate with Branch Managers, Governance Managers, Supervision Managers, Regional and Risk partners, and other business units to resolve risk-related matters
Requirements
What you’ll need- 2+ years of Supervisory Control, Corporate Insurance Risk, 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, 9/10, and 63, or FINRA-recognized equivalents, sufficient to qualify for immediate FINRA registration
- FINRA supervisory license required
- Obtaining and/or maintaining appropriate FINRA license(s) required for ongoing employment
- Compliance with state law registration and licensing requirements
- Specific product licenses or SAFE licensing may apply
- Meet enhanced financial fitness and criminal background standards
- SIE exam co-requisite required for specific FINRA qualification exams obtained after 9/30/2018
- Successfully complete and pass a background check prior to hire
- Must meet ongoing regulatory obligations, including periodic screening and mandatory reporting
- Position is not eligible for visa sponsorship
- Strong product knowledge across various product types, including equities, mutual funds, annuities, market-linked investments, UITs, alternative investments, and other complex products
- Strong understanding of firm policies, regulatory requirements, and industry practices
- Ability to conduct, document, and communicate reviews
- Strong verbal and written communication skills
- Strong analytical and critical-thinking skills
- Proficiency in Microsoft Office Suites, with strong knowledge of Excel
- Ability to collaborate effectively with stakeholders
Benefits
Comp & perks- Health benefits
- 401(k) Plan
- Paid time off
- Disability benefits
- Life insurance, critical illness insurance, and accident insurance
- Parental leave
- Critical caregiving leave
- Discounts and savings
- Commuter benefits
- Tuition reimbursement
- Scholarships for dependent children
- Adoption reimbursement
- Incentive opportunities may be available