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FINRA Supervisory Specialist Senior - Wealth Management

Date Posted: Jun 23, 2026
Yearly: USD - USD
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Job Detail

  • location_on
    Location United States of America
  • desktop_windows
    Job Type: Any
  • schedule
    Shift:
  • analytics
    Career Level:
  • group
    Positions:
  • calendar_view_day
    Experience:
  • male
    Gender: No Preference
  • school
    Degree:
  • calendar_month
    Apply Before: Sep 21, 2026
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Job Description

Overview

As a FINRA Supervisory Specialist Senior in Wealth Management at Covetus LLC, you will be responsible for supervising Financial Advisors (FA) and registered branches, ensuring compliance with industry rules and internal policies. Your role includes trade review, training, and mentorship while collaborating with multiple departments to manage risk and enhance compliance.

Key responsibilities

  • Supervise trade reviews and new accounts of Financial Advisors to ensure compliance with regulations
  • Review surveillance alerts and reports to identify trends in sales practice activity
  • Process escalations and conduct principal reviews at the regional level
  • Provide training and mentoring to registered representatives
  • Initiate and manage supervision-related projects and update procedures
  • Monitor advisor and client activities to ensure adherence to regulatory requirements
  • Lead process improvement initiatives and update supervision protocols
  • Collaborate with Operations, Compliance, Legal, and Risk partners on escalations and complaints

Required skills

  • Series 7, 24 (or 9/10), 66 (or 63 and 65) certifications
  • 3+ years of relevant industry experience
  • Financial compliance and regulatory knowledge
  • Risk management and decision-making skills
  • Effective communication and critical thinking
  • Project management and training abilities
  • Knowledge of financial services products and practices

What the company offers

Not specified in the original listing.

Skills Required

Company Overview

Covetus LLC
United States of America
3 Current Jobs Openings

Covetus LLC is involved in the financial and wealth management sector, emphasizing compliance and supervision for financial advisors. They focus on ensuring that practices align with regulatory standards to maintain business integrity and minimize ri... Read More

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