[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.ResponsibilitiesProvide effective supervision and coaching to sales team management, addressing call reviews, escalations, and complaint handlingCollaborate with Compliance, HR, and management to recommend and monitor individuals requiring additional supervisionPrepare regular reports on supervisory trends and activities, executing plans for issue remediationConduct self-audits of branch office records and reviews of electronic and written communicationsProvide backup support to other department teams, including call quality reviews, participating in calibrations and disputes, and performing suitability and trade reviews as neededPartner with Training, Compliance, and Legal staff to develop and maintain supervisory policies, procedures, and training resources. Provide training to relevant stakeholdersSkillsBachelor's Degree preferred in a business or finance-related field, or equivalent work experienceAt least 3 years of experience in the retail financial services industryKnowledge and experience in regulatory compliance and/or supervisionFINRA Series 7, Series 24, and Series 51 registrations required. Permissible additional registrations may include 63, 65/66Intermediate skill level MS Word, MS Excel, and MS PowerPointDetail oriented with proven technical skillsStrong motivational and interpersonal skillsDemonstrated ability to work both independently and within a collaborative team environmentBenefitsMedical, dental, vision and life insuranceRetirement savings – 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineupTuition reimbursement up to $5,250/yearBusiness-casual environment that includes the option to wear jeansGenerous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar yearPaid volunteer time — 16 hours per calendar yearLeave 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 OverviewPanAgora Asset Management is a quantitative investment manager whose proprietary approach is designed to capitalize on inefficiencies across market cycles and to deliver relative and absolute returns through distinct and innovative equity, multi-asset and risk premia strategies. It was founded in 1989, and is headquartered in Boston, Massachusetts, USA, with a workforce of 51-200 employees. Its website is http://www.panagora.com.