Oversight & Engagement Consultant

About the Job

An integral consulting partner between the Home Office, our Field Supervision teams and Financial Representatives. Working directly with the Vice Presidents of Distribution Performance, Field Leadership and Financial Representatives; learn their business and provide direct feedback and guidance on how they can grow their business, the right way. Consult on anything from appropriate sales practices to implementation of policies and procedures as you make recommendations to drive business results through ongoing consultative support to the Field and within the Home Office.

Educate and train Representatives and their staff while performing branch inspections while striving to improve divisional work processes. Collaborate with field leadership in developing, implementing, and executing risk management plans for their local offices.

• Partner with Network Office Supervision teams and home office Distribution Performance teams to assess and improve current compliance and supervision processes.
• Meet with Network Office Supervision teams when needed and perform annual branch inspection and routine consultation discussions.
• Analyze and interpret information about the Network Office s business through a variety of methods to unearth weaknesses and problems, and comprehend the causes.
• Formulate recommendations and solutions with attention to local Supervision team and Distribution Performance team s expectations.
• Complete on-site inspections and annual reviews of books and records of Offices of Supervisory Jurisdiction, Registered Branch Offices and other field locations as required by FINRA.
• Conduct interviews and client file reviews with representatives in field offices in accordance with firm policy and industry regulations.
• Reviews and inspections consist of the following: consult with Regional Field Engagement team and leads the implementation of Network Office specific solutions to material and ongoing compliance issues; document, draft, and follow-up with detailed reports regarding field offices and individual registered representative visits; document observations and findings of sales practices through interviews with field management and registered representatives; formulate recommendations and solutions with attention to local Supervision team and Distribution Performance team s expectations and present findings and suggestions with ample justification and practical advice.
• Assist in developing detailed supervision plans to drive small or radical changes, as necessary.
• Assist the local Supervision team in implementing the plan and resolve any occasional discrepancies.
• Execute on certain oversight and supporting tasks designed to provide additional insight into Network Offices  business activities.
• Train new Field Engagement team members on divisional processes and procedures. Acts in mentor capacity for less experienced staff. Evaluates and resolves complex issues referred by team members.

• Bachelor s Degree Preferred or equivalent combination of education and experience preferred.
• FINRA Series 7 and 24 required.
• Minimum of 6 year of relevant experience. Experience in insurance, investment, or financial services industry preferred.
• Knowledge of Microsoft Office with strong emphasis on Excel proficiency.
• Ability to prioritize workload and seek support when appropriate, as well as work within a larger team.
• Sound decision-making skills; ability to use a mixture of analysis, wisdom, experience and judgment to arrive at a conclusion or recommendation.
• Highly detailed and data-oriented with solid critical thinking, organizational and analytical skills.
• Proven success in establishing effective team relationships.
• Ability to identify and solve complex, operational and organizational problems leveraging the appropriate resources within or outside the division.
• Ability to communicate complex ideas, anticipate potential objections and persuade others, often at senior levels, to adopt a different point of view.

#LI-Hybrid

Candidates must successfully complete and pass any required testing. Series 24 - FINRA FINRA, Series 7 - FINRA FINRA, SIE - FINRA FINRA

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