Job Description
Full job description
Job Overview
The responsibility of this role is twofold in supporting both supervision and the FPS team. On the supervision side, this role will support the DNOS in implementing the supervision strategy and risk management approach for the network office. On the FPS side, you will support that team by assisting with coverage and overflow of investment operations day-to -day. This is a hybrid position and will require you to be in office between 3-4 days a week. Additionally, it will require some travel on the supervision side to conduct reviews with advisors and teams.
RESPONSIBILITIES:
-Supervision-
Supervision of multiple systems, including, but not limited to, flagged email and social media correspondence, transaction/trend supervision, and compliance monitoring systems
Assist in completing on-site inspections, client file reviews, and compliance related interviews of Financial Representatives and their staff
Help maintain books and records for the Offices of Supervisory Jurisdiction, Registered Branch Offices and other field locations as required by FINRA
Support Financial Representatives and field staff, related to risk management, regulatory change, policies and procedures, and documentation requirements
Support supervisory plans put in place to address non-standard behavior or to address sales practice concerns
Support the direction of the Local Network Office compliance program
-Financial Planning Services (FPS)-
Act as primary backup for FPS team when there is an overflow of work or when someone is out of office. This includes but is not limited to: fulfillment of work orders (investment paperwork, proposals, financial plans, NMIS Operations, and securities checks)
Act as a liaison between the advisors and supervision as needed if there are supervision flags that need to be resolved
Research subscriber/general questions that come up and provide answers
Provide training to the office as needed as it relates to investment operations and supervision
Deep understanding and knowledge of the NetX360 application and various other NM apps
Act as an additional layer of support to our Client Onboarding team to help them open new accounts or execute on one off requests
Stay up-to-date on changes with forms, process updates, etc. and keep team/subscribers in the loop
QUALIFICATIONS:
High attention to detail is a must
Minimum of FINRA licensing (SIE, Series 7 and 63)
Series * and 10 (required within first 6 months of hire date if these aren’t already held)
CA Life/Health insurance license
Bachelor’s degree
2-5 years of related work experience, preferably in financial services
Ability to travel to district offices and headquarters as required
BENEFITS:
We believe in building a team that loves what they do and creating a work environment that supports long-term career and personal growth. Accordingly, we provide a rewarding compensation package which includes:
Salary commensurate with experience
Medical, dental, and vision benefits with employer-paid subsidy
3% safe harbor 401(k) (eligible after one year)
Employer-sponsored licensing, professional development, and education opportunities
18 days of Paid Time Off (PTO) with additional Holiday Pay
Parking/transportation stipend
High-impact and dynamic career path
Pay: $65,000.00 - $70,000.00 per year
Benefits:
401(k)
Dental insurance
Health insurance
Paid time off
Vision insurance
Application Question(s):
Do you have 2-5 years of experience in Financial Services?
License/Certification:
Series 7 (Preferred)
Series 63 (Preferred)
CA Life & Health Insurance License (Preferred)
Work Location: Hybrid remote in Los Angeles, CA 90025
Job Overview
The responsibility of this role is twofold in supporting both supervision and the FPS team. On the supervision side, this role will support the DNOS in implementing the supervision strategy and risk management approach for the network office. On the FPS side, you will support that team by assisting with coverage and overflow of investment operations day-to -day. This is a hybrid position and will require you to be in office between 3-4 days a week. Additionally, it will require some travel on the supervision side to conduct reviews with advisors and teams.
RESPONSIBILITIES:
-Supervision-
Supervision of multiple systems, including, but not limited to, flagged email and social media correspondence, transaction/trend supervision, and compliance monitoring systems
Assist in completing on-site inspections, client file reviews, and compliance related interviews of Financial Representatives and their staff
Help maintain books and records for the Offices of Supervisory Jurisdiction, Registered Branch Offices and other field locations as required by FINRA
Support Financial Representatives and field staff, related to risk management, regulatory change, policies and procedures, and documentation requirements
Support supervisory plans put in place to address non-standard behavior or to address sales practice concerns
Support the direction of the Local Network Office compliance program
-Financial Planning Services (FPS)-
Act as primary backup for FPS team when there is an overflow of work or when someone is out of office. This includes but is not limited to: fulfillment of work orders (investment paperwork, proposals, financial plans, NMIS Operations, and securities checks)
Act as a liaison between the advisors and supervision as needed if there are supervision flags that need to be resolved
Research subscriber/general questions that come up and provide answers
Provide training to the office as needed as it relates to investment operations and supervision
Deep understanding and knowledge of the NetX360 application and various other NM apps
Act as an additional layer of support to our Client Onboarding team to help them open new accounts or execute on one off requests
Stay up-to-date on changes with forms, process updates, etc. and keep team/subscribers in the loop
QUALIFICATIONS:
High attention to detail is a must
Minimum of FINRA licensing (SIE, Series 7 and 63)
Series * and 10 (required within first 6 months of hire date if these aren’t already held)
CA Life/Health insurance license
Bachelor’s degree
2-5 years of related work experience, preferably in financial services
Ability to travel to district offices and headquarters as required
BENEFITS:
We believe in building a team that loves what they do and creating a work environment that supports long-term career and personal growth. Accordingly, we provide a rewarding compensation package which includes:
Salary commensurate with experience
Medical, dental, and vision benefits with employer-paid subsidy
3% safe harbor 401(k) (eligible after one year)
Employer-sponsored licensing, professional development, and education opportunities
18 days of Paid Time Off (PTO) with additional Holiday Pay
Parking/transportation stipend
High-impact and dynamic career path
Pay: $65,000.00 - $70,000.00 per year
Benefits:
401(k)
Dental insurance
Health insurance
Paid time off
Vision insurance
Application Question(s):
Do you have 2-5 years of experience in Financial Services?
License/Certification:
Series 7 (Preferred)
Series 63 (Preferred)
CA Life & Health Insurance License (Preferred)
Work Location: Hybrid remote in Los Angeles, CA 90025
💡 Quick Summary
Seeking a career-building opportunity? The Supervision and Financial Planning Services Associate (Financial Services) position is now open for candidates interested in the Insurance sector. This role in Los Angeles offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Insurance is a plus.
