Responsibilities
- Design, update, and maintain onboarding and refresher training programs for licensed financial advisors.
- Deliver live and virtual training sessions and structured coaching engagements.
- Develop training materials, including presentations, job aids, scenarios, and microlearning content.
- Apply quality standards to conduct call monitoring and interaction reviews for licensed advisors.
- Identify performance gaps related to disclosures, suitability, and client communication.
- Provide feedback and coaching to improve advisor effectiveness and reduce compliance risk.
- Document quality findings and training activities to support supervisory oversight.
- Partner with Compliance and business teams to ensure training content aligns with firm policy.
Requirements
- Bachelor’s degree in business or finance
- Two years of experience in financial services training, quality assurance, or performance management
- Experience delivering training or coaching for licensed professionals
- Working knowledge of Financial Industry Regulatory Authority (FINRA) rules and advisor supervision standards
- Proficient in MS Word, Excel, and PowerPoint
- Experience in brokerage, wealth management, insurance, or investment advisory environments (Preferred)
- Familiarity with learning management systems, eLearning tools, or call monitoring platforms (Preferred)
- FINRA Series 6 (Preferred)
- FINRA Series 65 or equivalent (Preferred)
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