Supervision Support Specialist

About the role

Provided first-line support for advisors and business partners regarding compliance, registration, licensing, continuing education, and supervision-related processes within a FINRA-regulated environment. Delivered exceptional customer service while assisting with technology navigation, industry regulations, and licensing requirements.

Responsibilities

• Served as a primary point of contact for advisors regarding compliance, registration, and FINRA licensing requirements.
• Guided advisors through supervision processes, continuing education obligations, and regulatory requirements.
• Responded to inquiries related to FINRA, SEC, and state regulations with accuracy and professionalism.
• Assisted with registration and licensing workflows, ensuring adherence to industry standards and deadlines.
• Collaborated with cross-functional teams to resolve escalated issues and improve service delivery.
• Maintained knowledge of evolving regulatory requirements and industry best practices.
• Provided support for investment products, including mutual funds, annuities, and general securities.

Requirements

• FINRA-regulated environment experience
• Series 7 licensed
• Knowledge of FINRA, SEC, and state regulatory requirements
• Registration and licensing support
• Customer service and client support
• Compliance and supervision processes
• Mutual funds, annuities, and securities products
• Strong verbal and written communication
• Analytical problem-solving and critical thinking
• Attention to detail and multitasking
• Microsoft Office Suite (Excel, Word, PowerPoint, Access, SharePoint)

Pay

The pay range for this position is $25.00 - $33.00/hr.

Benefits

Eligibility requirements apply to some benefits and may depend on your job classification and length of employment. Benefits are subject to change and may be subject to specific elections, plan, or program terms. If eligible, the benefits available for this temporary role may include the following:

• Medical, dental & vision
• Critical Illness, Accident, and Hospital
• 401(k) Retirement Plan – Pre-tax and Roth post-tax contributions available
• Life Insurance (Voluntary Life & AD&D for the employee and dependents)
• Short and long-term disability
• Health Spending Account (HSA)
• Transportation benefits
• Employee Assistance Program
• Time Off/Leave (PTO, Vacation or Sick Leave)

Schedule

This is a Contract to Hire position based out of San Diego, CA, and is fully remote.