Supervision Consultant

🔥 12 hours ago

🇺🇸 United States – Remote

💵 $72.2k - $102k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

💼 Consultant

🦅 H1B Visa Sponsor

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Empower

WebsiteLinkedInAll Job Openings

10,000+ employees

💸 Finance

💳 Fintech

👥 B2C

Finance • Fintech • B2C

Empower is a leading provider of financial services focused on helping individuals and organizations achieve financial freedom through retirement planning and investment management. Serving over 19 million Americans, Empower offers a comprehensive suite of finance-related services, including smart planning and investment advice, and tools like the Empower Personal Dashboard™ for a complete financial view. The company is renowned as a top retirement plan provider and works closely with personal investors, workplace plan savers, plan sponsors, and financial professionals. Empower is also recognized for initiatives in Diversity, Equity, Inclusion, and has a social commitment that bolsters community impact.

📋 Description

• 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

🎯 Requirements

• Bachelor's Degree preferred in a business or finance-related field, or equivalent work experience • 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 • 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

🏖️ Benefits

• Medical, dental, vision and life insurance • Retirement savings – 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup • Tuition reimbursement up to $5,250/year • Business-casual environment that includes the option to wear jeans • Generous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar year • Paid volunteer time — 16 hours per calendar year • Leave of absence programs – including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA) • Business Resource Groups (BRGs) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.