Responsibilities
- Design, update, and maintain onboarding and refresher training programs for licensed financial advisors.
- Deliver live and virtual training sessions and structured coaching engagements.
- Develop training materials, including presentations, job aids, scenarios, and microlearning content.
- Apply quality standards to conduct call monitoring and interaction reviews for licensed advisors.
- Identify performance gaps related to disclosures, suitability, and client communication.
- Provide feedback and coaching to improve advisor effectiveness and reduce compliance risk.
- Document quality findings and training activities to support supervisory oversight.
- Partner with Compliance and business teams to ensure training content aligns with firm policy.
Qualifications
- Bachelor’s degree in business or finance
- Two years of experience in financial services training, quality assurance, or performance management
- Experience delivering training or coaching for licensed professionals
- Working knowledge of Financial Industry Regulatory Authority (FINRA) rules and advisor supervision standards
- Proficient in MS Word, Excel, and PowerPoint
Preferred Qualifications
- Experience in brokerage, wealth management, insurance, or investment advisory environments
- Familiarity with learning management systems, eLearning tools, or call monitoring platforms
- FINRA Series 6
- FINRA Series 65 or equivalent
Working Conditions
- Hybrid Environment
The Salary for this position generally ranges between $65,000-$75,000 annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.
Additionally, this position is typically eligible for an Annual Bonus of 6% based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.
- We will never request personal information such as ID or payment for equipment upfront.
- Official offers are sent via DocuSign following a verbal offer—not through text or email
This job description is not a contract of employment nor for any specific job responsibilities. The Company may change, add to, remove, or revoke the terms of this job description at its discretion. Managers may assign other duties and responsibilities as needed. In the event an employee or applicant requests or requires an accommodation to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.