Supervisory Control Specialist

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About the position

Responsibilities

  • Participate and consult regarding policies and procedures, controls, tools, and training.
  • Review and analyze controls to manage high-risk investment strategies and complex products.
  • Evaluate resources to monitor risk and guide process changes and improvements.
  • Present recommendations for resolving complex analysis in search of current and best practices.
  • Gather and analyze data, identify trends, and present analysis through meaningful statistics.
  • Develop expertise in firm, compliance, and regulatory policies and procedures.
  • Collaborate and consult with Financial Advisors, Divisional Management, Market Leaders, and other Business Units.

Requirements

  • 2+ years of Supervisory Control, Corporate Insurance Risk, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent.
  • Successfully completed FINRA Series 7, 9/10, and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration.

Nice-to-haves

  • Experience partnering with business, compliance, and supervision partners to address concerns and provide solutions.
  • Ability to exercise independent judgment to identify and resolve problems.
  • Excellent verbal, written, and interpersonal communication skills.
  • Negotiating, conflict-management, and decision-making skills.
  • Ability to manage multiple and competing priorities.

Benefits

  • 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
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