Supervision Consultant

🕒 July 29

🇺🇸 United States – Remote

💵 $72.2k - $102k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

💼 Consultant

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

👻 Ghost score 18%

What it means: how likely this posting is sitting open without active hiring.How to read it: 60% or higher means we think this is a ghost. Lower scores are less of a worry.How we score it: age, reposts, open roles vs team size, how fast jobs close, and whether pay is listed.Fine print: an estimate from public data, not a judgment of the company. Real jobs can score high, so treat it as a hint, not a fact.

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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

• Support the general supervision of Registered Representatives and Investment Advisor Representatives • 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 • Execute plans for issue remediation • Conduct self-audits of branch office records • Review electronic and written communications • Provide backup support to other department teams, including call quality reviews • Participate in calibrations and disputes • Perform 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 • Contribute to process improvement

🎯 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 65 (or 66) registrations required • Series 51 (or 53) registrations required within corporate established timelines • Fully licensed candidates are preferred • Intermediate skill level in 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 • Applicants must be authorized to work for any employer in the U.S. • Must have reliable high-speed internet with a wired connection and a suitable home workspace with limited disruption • Required internet connection must be fiber, cable or DSL internet

🏖️ 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. • Flexible work environment • Fluid career paths • Internal mobility • Other necessary computer equipment will be provided