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Supervisory Control Specialist

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About the position

Responsibilities

  • Participate and consult regarding policies and procedures, controls, tools, and training.
  • Review and analyze controls to manage high-risk investment strategies and complex products.
  • Evaluate resources to monitor risk and guide process changes and improvements.
  • Present recommendations for resolving complex analysis in search of current and best practices.
  • Gather and analyze data, identify trends, and present analysis through meaningful statistics.
  • Develop expertise in firm, compliance, and regulatory policies and procedures.
  • Collaborate and consult with Financial Advisors, Divisional Management, Market Leaders, and other Business Units.

Requirements

  • 2+ years of Supervisory Control, Corporate Insurance Risk, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent.
  • Successfully completed FINRA Series 7, 9/10, and 66 examinations (or FINRA recognized equivalents).

Nice-to-haves

  • Experience partnering with business, compliance, and supervision partners to address concerns and resolve complex issues.
  • Ability to exercise independent judgment to identify and resolve problems.
  • Excellent verbal, written, and interpersonal communication skills.
  • Negotiating, conflict-management, and decision-making skills.
  • Ability to take initiative, work independently, and implement change.
  • 2+ years of financial services industry experience.
  • Experience in compliance or broker-dealer governance.

Benefits

  • Health benefits
  • 401(k) Plan
  • Paid time off
  • Disability benefits
  • Life insurance, critical illness insurance, and accident insurance
  • Parental leave
  • Critical caregiving leave
  • Discounts and savings
  • Commuter benefits
  • Tuition reimbursement
  • Scholarships for dependent children
  • Adoption reimbursement
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Common Interview Questions And Answers

1. HOW DO YOU PLAN YOUR DAY?

This is what this question poses: When do you focus and start working seriously? What are the hours you work optimally? Are you a night owl? A morning bird? Remote teams can be made up of people working on different shifts and around the world, so you won't necessarily be stuck in the 9-5 schedule if it's not for you...

2. HOW DO YOU USE THE DIFFERENT COMMUNICATION TOOLS IN DIFFERENT SITUATIONS?

When you're working on a remote team, there's no way to chat in the hallway between meetings or catch up on the latest project during an office carpool. Therefore, virtual communication will be absolutely essential to get your work done...

3. WHAT IS "WORKING REMOTE" REALLY FOR YOU?

Many people want to work remotely because of the flexibility it allows. You can work anywhere and at any time of the day...

4. WHAT DO YOU NEED IN YOUR PHYSICAL WORKSPACE TO SUCCEED IN YOUR WORK?

With this question, companies are looking to see what equipment they may need to provide you with and to verify how aware you are of what remote working could mean for you physically and logistically...

5. HOW DO YOU PROCESS INFORMATION?

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6. HOW DO YOU MANAGE THE CALENDAR AND THE PROGRAM? WHICH APPLICATIONS / SYSTEM DO YOU USE?

Or you may receive even more specific questions, such as: What's on your calendar? Do you plan blocks of time to do certain types of work? Do you have an open calendar that everyone can see?...

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Just like your schedule, how you track files and other information is very important. After all, everything is digital!...

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This is a great question because it shows your comfort level with technology, which is very important for a remote worker because you will be working with technology over time...

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