Supervision Analyst

This position involves leading the daily review of new business activities, ensuring compliance with policies and regulations, and fostering relationships with advisors. The analyst will monitor internal controls, participate in training, review new business for compliance, and maintain positive relationships with advisors. The role also includes following up on tasks, escalating issues, understanding workflows, and collaborating with the Supervision team. Additional responsibilities include reviewing advisor email and client correspondence, as well as client refund and trade error cases.