Senior Supervision Specialist

Supervision Specialist

We're seeking a Supervision Specialist to join our team and help ensure compliance and operational excellence. This role offers an opportunity to leverage your industry expertise as a registered principal while supporting financial professionals and safeguarding firm standards. Ideal candidates are self-motivated with strong critical-thinking and communication skills, detail-oriented, and thrive in fast-paced, time-sensitive environments. A strong understanding of the financial services industry, including products and regulations, is essential.

What you will do:

Reporting directly to the Supervision Team Manager, you will focus on principal review, business oversight, and related tasks, including but not limited to:

• Directly oversee assigned representatives by reviewing and approving customer new accounts, daily transactions, correspondence review and with Regulation Best Interest.
• Review alerts related to a...