Supervision Analyst Position Available In Mecklenburg, North Carolina

We are seeking a dedicated and knowledgeable Supervision Analyst to join our team. In this role, you will be the first line of contact for advisors, providing expert guidance on supervision technology, industry rules and regulations, and registration and licensing processes. You’ll play a key role in ensuring compliance and delivering exceptional service in a fast-paced, client-focused environment. Key Responsibilities Serve as the primary support for advisors regarding compliance, registration, and FINRA licensing requirements. Provide walkthroughs and support for supervision technology platforms. Respond to inquiries related to industry regulations, continuing education, and licensing processes. Collaborate with internal teams to resolve escalated issues and ensure regulatory compliance. Maintain up-to-date knowledge of FINRA, SEC, and state regulations. What to

Expect Career Advancement:

Ongoing coaching and feedback to help you grow in your career.

Support & Development:

Encouragement to pursue additional licensing (e.g., Series 66, 24, or 9/10).

Team Environment:

A collaborative team culture with accessible support and resources. Required Qualifications 1-2 years of experience in a FINRA-regulated environment. At least 1 year of recent customer service experience. Strong oral and written communication skills. Proven ability to learn quickly and adapt in a dynamic environment. Excellent multitasking, attention to detail, and problem-solving skills. Knowledge of mutual funds, annuities, general securities, and other financial products. Familiarity with FINRA, SEC, and state regulations.

Licensing Requirements:

FINRA SIE, Series 7 Top-Off, and Series 63 (or must be obtained within 90 days of employment).