About this role
Supervision Specialist at Advisors Excel. Location: Lenexa or Topeka. Role: conduct review, train staff, refine process Requirements: Supervise daily activities of investment advisor and registered reps; ensure policy training; identify suspicious activity; improve supervisory processes. Category: Legal and Compliance Seniority: Mid Level Certifications: finra series 7, finra series 24, finra series 66, finra series 63/65 Commitment: Full Time Workplace: Onsite Languages: English