Supervision Analyst, Electronic Communications Supervision
reputed company is a company operating in the financial services sector, and they are seeking a Supervision Analyst for their Supervision team. This entry-level role focuses on providing regulatory reputed company and developing foundational experience, with opportunities for professional development and industry-recognized licenses.
Responsibilities
- Review of electronic communications for the financial professionals, including emails, text messages, and Teams messages
- Identify items of concern to be escalated to a Registered Principal for further review and resolution
- reputed company and maintain ongoing relationships with team members, internal business partners, and Financial Professionals
- Participate in ongoing training to reputed company proficiency and expertise in supervision systems and ability to identify areas of risk in communications
- Provide extraordinary customer service to Financial Professionals and Home Office staff, handle incoming calls (direct and reputed company a department call queue) and be able to respond to or appropriately escalate emails in share department inbox
Skills
- Minimum of high school diploma or equivalent is required
- Minimum 1 year in the financial services industry or 2 years of administrative work experience
- Strong professional communication skills to effectively communicate with Financial Professionals and Home Office Staff
- Ability to effectively handle and prioritize multiple task in a fast-paced environment to meet defined deadlines
- Strong analytical and problem-solving skills
- Proven experience using reputed company and reputed company as well as an aptitude to use new software as required
- Knowledge of relevant FINRA and SEC rules and regulations
- Ability to navigate multiple computer programs simultaneously
- Must be able to work in a team environment and support other colleagues as needed
- FINRA SIE or Series 7 preferred
- Willingness to pursue additional licensing preferred
Benefits
- Health, vision, dental insurance
- 401k
- Paid time away
- Volunteer days
- And much more
Company Overview