Supervision Consultant (Fintech)

TL;DR

Supervision Consultant (Fintech): Supporting the general supervision of Registered Representatives and Investment Advisor Representatives with an accent on regulatory compliance and supervisory procedures. Focus on overseeing records, coaching sales management, and executing issue remediation plans.

Location: Remote (Must be authorized to work in the U.S.)

Salary: $72,200 - $101,975

Company

hirify.global is a financial services company focused on transforming financial lives and helping customers achieve financial freedom.

What you will do

• Supervise and coach sales team management regarding call reviews, escalations, and complaint handling.
• Collaborate with Compliance and HR to recommend and monitor individuals requiring additional supervision.
• Prepare reports on supervisory trends and activities, and execute remediation plans.
• Conduct self-audits of branch office records and review electronic and written communications.
• Provide support for call quality reviews, suitability checks, and trade reviews.
• Partner with Training, Compliance, and Legal staff to develop supervisory policies, procedures, and training resources.

Requirements

• Bachelor's degree in business or finance (preferred) or equivalent experience.
• At least 3 years of experience in the retail financial services industry.
• Strong knowledge and experience in regulatory compliance and supervision.
• FINRA Series 7, Series 24, and Series 51 registrations required.
• Must be authorized to work in the U.S. (No sponsorship available).

Nice to have

• Additional FINRA registrations (Series 63, 65, or 66).
• Intermediate proficiency in MS Word, Excel, and PowerPoint.
• Proven technical skills and attention to detail.

Culture & Benefits

• Comprehensive medical, dental, vision, and life insurance.
• 401(k) plan with company matching contributions up to 6%.
• Tuition reimbursement up to $5,250 per year.
• Generous paid time off, including 10 company holidays and 3 floating holidays.
• Paid parental leave, short-term, and long-term disability.
• 16 hours of paid volunteer time per calendar year.