A remote role at Empower.
How Sydicom helps: we read this listing’s requirements and tune your CV and cover letter to the keywords its ATS (Workday) is scanning for, for candidates in United States, then help you apply.
Original listing text, shown exactly as published by the company.
•
Provide effective supervision and coaching to sales team management, addressing call reviews, escalations, and complaint handling
•
Collaborate with Compliance, HR, and management to recommend and monitor individuals requiring additional supervision
•
Prepare regular reports on supervisory trends and activities, executing plans for issue remediation.
•
Conduct self-audits of branch office records and reviews of electronic and written communications
•
Provide backup support to other department teams, including call quality reviews, participating in calibrations and disputes, and performing suitability and trade reviews as needed
•
Partner with Training, Compliance, and Legal staff to develop and maintain supervisory policies, procedures, and training resources. Provide training to relevant stakeholders
What you will bring
•
•
At least 3 years of experience in the retail financial services industry
•
Knowledge and experience in regulatory compliance and/or supervision
•
FINRA Series 7, Series 24, and Series 51 registrations required. Permissible additional registrations may include 63, 65/66
What will set you apart
•
Intermediate skill level MS Word, MS Excel, and MS PowerPoint
•
Detail oriented with proven technical skills
•
Strong motivational and interpersonal skills
•
Demonstrated ability to work both independently and within a collaborative team environment
#LI-Remote
#PJPW
***Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment visa at this time, including CPT/OPT.***
Empower
Other
36 open roles on Sydicom
Empower is a prominent financial services company. They provide retirement planning, investment management, and financial advice services to individuals and institutions.
Generated by Sydicom AI
