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We are seeking a dedicated and knowledgeable Supervision Analyst to join our team. In this role, you will be the first line of contact for advisors, providing expert guidance on supervision technology, industry rules and regulations, and registration and licensing processes. You’ll play a key role in ensuring compliance and delivering exceptional service in a fast-paced, client-focused environment.

Key Responsibilities

+ Serve as the primary support for advisors regarding compliance, registration, and FINRA licensing requirements.

+ Provide walkthroughs and support for supervision technology platforms.

+ Respond to inquiries related to industry regulations, continuing education, and licensing processes.

+ Collaborate with internal teams to resolve escalated issues and ensure regulatory compliance.

+ Maintain up-to-date knowledge of FINRA, SEC, and state regulations.

What to Expect

+ Career Advancement: Ongoing coaching and feedback to help you grow in your career.

+ Support & Development: Encouragement to pursue additional licensing (e.g., Series 66, 24, or 9/10).

+ Team Environment: A collaborative team culture with accessible support and resources.

Required Qualifications

+ 1–2 years of experience in a FINRA-regulated environment.

+ At least 1 year of recent customer service experience.

+ Strong oral and written communication skills.

+ Proven ability to learn quickly and adapt in a dynamic environment.

+ Excellent multitasking, attention to detail, and problem-solving skills.

+ Knowledge of mutual funds, annuities, general securities, and other financial products.

+ Familiarity with FINRA, SEC, and state regulations.

+ Licensing Requirements: FINRA SIE, Series 7 Top-Off, and Series 63 (or must be obtained within 90 days of employment).

Pay and Benefits

The pay range for this position is $30.00 - $30.00/hr.

Eligibility requirements apply to some benefits and may depend on your job classification and length of employment. Benefits are subject to change and may be subject to specific elections, plan, or program terms. If eligible, the benefits available for this temporary role may include the following:

• Medical, dental & vision • Critical Illness, Accident, and Hospital • 401(k) Retirement Plan – Pre-tax and Roth post-tax contributions available • Life Insurance (Voluntary Life & AD&D for the employee and dependents) • Short and long-term disability • Health Spending Account (HSA) • Transportation benefits • Employee Assistance Program • Time Off/Leave (PTO, Vacation or Sick Leave)

Workplace Type

This is a hybrid position in Charlotte,NC.

Application Deadline

This position is anticipated to close on Jun 5, 2025.

About TEKsystems and TEKsystems Global Services

We’re a leading provider of business and technology services. We accelerate business transformation for our customers. Our expertise in strategy, design, execution and operations unlocks business value through a range of solutions. We’re a team of 80,000 strong, working with over 6,000 customers, including 80% of the Fortune 500 across North America, Europe and Asia, who partner with us for our scale, full-stack capabilities and speed. We’re strategic thinkers, hands-on collaborators, helping customers capitalize on change and master the momentum of technology. We’re building tomorrow by delivering business outcomes and making positive impacts in our global communities. TEKsystems and TEKsystems Global Services are Allegis Group companies. Learn more at TEKsystems.com.

The company is an equal opportunity employer and will consider all applications without regard to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.