Supervision Advisor

Do you have a true interest in investing and the rules and regulations of the securities industry? Do you also enjoy working from home? If so, the Supervision and Business Risk (“SaBR”) team is seeking a positive professional to join the team as a Supervision Advisor on our Advisory suitability team. The right candidate will have the ability to build positive relationships with both the local agency management team and our field rep’s while also working as a mentor in a high volume, fast paced environment. In this role, the supervision advisor will be expected to use their knowledge and application of the laws, regulations, products and ethical standards of the securities industry to ensure the best interests of the client are being met. The candidate will have the opportunity to work with new account reviews both on and off platform, risk/return metrics, asset allocation and alternative investments within discretionary accounts. This position reports to the Manager of the Supervision and Business Risk team.