[Remote] Supervision Consultant

Note: The job is a remote job and is open to candidates in USA. PanAgora Asset Management is committed to transforming financial lives through a flexible work environment and internal mobility. As a Supervision Consultant, you will oversee the supervision of Registered Representatives and Investment Advisor Representatives, ensuring compliance with regulatory requirements and contributing to process improvement.

Responsibilities

• Provide effective supervision and coaching to sales team management, addressing call reviews, escalations, and complaint handling
• Collaborate with Compliance, HR, and management to recommend and monitor individuals requiring additional supervision
• Prepare regular reports on supervisory trends and activities, executing plans for issue remediation
• Conduct self-audits of branch office records and reviews of electronic and written communications
• Provide backup support to other department teams, including call quality reviews, participating in calibrations and disputes, and performing suitability and trade reviews as needed
• Partner with Training, Compliance, and Legal staff to develop and maintain supervisory policies, procedures, and training resources. Provide training to relevant stakeholders

Skills

• Bachelor's Degree preferred in a business or finance-related field, or equivalent work experience
• At least 3 years of experience in the retail financial services industry
• Knowledge and experience in regulatory compliance and/or supervision
• FINRA Series 7, Series 24, and Series 51 registrations required. Permissible additional registrations may include 63, 65/66
• Intermediate skill level MS Word, MS Excel, and MS PowerPoint
• Detail oriented with proven technical skills
• Strong motivational and interpersonal skills
• Demonstrated ability to work both independently and within a collaborative team environment

Benefits

• Medical, dental, vision and life insurance
• Retirement savings – 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup
• Tuition reimbursement up to $5,250/year
• Business-casual environment that includes the option to wear jeans
• Generous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar year
• Paid volunteer time — 16 hours per calendar year
• Leave of absence programs – including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA)
• Business Resource Groups (BRGs) –  BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.
• Other necessary computer equipment, will be provided.

Company Overview