Supervision and Financial Planning Services Associate (Financial Services)

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 9 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