- oversees the development and maintenance of workflows, including mandated supervisory reviews and enterprise alerts
- monitors call center activities or financial center's ability to handle and resolve complaints
- coordinates control and audit remediation, mock audits of books and records, onboarding of registered associates, and communication and tracking of key performance objectives
- identifies risk, drives operational excellence, and develops front-line unit proficiency through supplemental training, active coaching & remediation of policy and procedure violations
Requirements
- Bachelor’s Degree or equivalent work experience
- Must have FINRA Series 7, 8 or 9/10, 63/65 or 66 to be considered for the role (in lieu of the 8 or 9/10 we could consider candidates holding all of the following licenses: 4, 24, and 53)
- Familiarity with compliance and regulatory issues
- Strong auditing background with willingness to travel
- Familiarity with Microsoft Word, Excel and PowerPoint
Core Competencies
Demonstrates expertise in overseeing workflows, compliance, and auditing processes while driving operational excellence and risk management. Proficient in training and coaching front-line units to enhance performance and adherence to policies.
Highest-signal resume keywords
- FINRA Series 7
- FINRA Series 63
- Auditing Experience
- Compliance Familiarity
- Microsoft Excel
ATS Optimization Keywords
Hard Skills
- Workflow Development
- Operational Excellence
- Risk Identification
- Policy Remediation
- Training and Coaching
Soft Skills
- Communication
- Problem-Solving
Certifications & Qualifications
- FINRA Series 8
- FINRA Series 9/10
- FINRA Series 4
- FINRA Series 24
- FINRA Series 53
Industry Keywords
- Regulatory Issues
- Call Center Monitoring
- Audit Remediation
- Key Performance Objectives
- Onboarding
Tools & Technologies
- Microsoft Word
- Microsoft PowerPoint