What's the Role?

As a Centralized Supervision Consultant, you will become an integral partner between Home Office, Field Advisors and Field Leadership. This role serves as a technical expert through performing transaction reviews, coaching your peers, and influencing field advisors in building their business the right way.

You will also be responsible for diverse tasks during your day to day work; reviewing an advisor's written correspondence or personal planning analysis tool (PPA), approving a new investment account, and/or reviewing transaction flags through our monitoring system (SMART).

At the core of this role, you will add value by helping our business partners grow their business the right way by performing reviews and support in alignment with regulatory requirements and firm policies. As a Consultant, you will also be responsible for providing feedback and consultation on trends to Field Leadership and internal team members. Additionally, take a leadership role to execute on miscellaneous projects required to improve overall effectiveness of the system, process, and overall program.

What we need from you is a desire to learn the technical aspects, be flexible and agile with processes and enhance our program with your knowledge, capabilities and experiences.

What makes you a great fit for our team?

• Strong communication skills used to help demonstrate the value propositions of the centralized supervision program.
• Demonstrated ability to deliver business results by combining your skills and capabilities in a dynamic business environment
• Forward thinker with an ability to anticipate problems and propose recommendations on how to solve for them
• Able to simplify complex ideas and flex your style to effectively communicate amongst many audiences and employees.
• A selfdirected learner who demonstrates a strong sense of ownership and accountability
• Demonstrated ability to identify efficiencies in a process, create workflows with standardization.
• Move quickly with enough due diligence to work with and through limited information
• Know how to gather and use data in problem-solving and able to communicate understanding to achieve effective decision making and efficiencies in a process
• Learn, take risks, and be open to feedback as part of personal learning and development
• Proven ability to build rapport and exercise tact, diplomacy and understanding of internal and external customers

Why compliance?

Are you curious about what compliance does and how we impact the company strategy? Are you interested in learning more about the financial services industry and how we provide our services to our clients? If so, we're looking for you to join our department. As a member of Enterprise Compliance, you'll have the chance to creatively flex your problem-solving and consulting skills in a variety of ways. Our work is constantly evolving and we want team members to help us envision the future of compliance and pursue it with enthusiasm.

Bring Your Best! What this role needs:

• Minimum of Bachelor's degree, with emphasis on business or other related area preferred
• 4-6 years professional experience, in insurance or financial service industry
• FINRA Series 7 & 24required, potential to obtain Series 9 & 10

This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.

We are an equal opportunity/affirmative action employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender identity or expression, sexual orientation, national origin, disability, age or status as a protected veteran, or any other characteristic protected by law.