Designs, delivers, and reinforces compliant training for licensed financial advisors while independently performing quality assurance reviews in a regulated financial services environment. Leverages quality insights, regulatory requirements, and performance data to improve advisor effectiveness and mitigate compliance risk.

Responsibilities

  • Design, update, and maintain onboarding, refresher, and remediation training programs for licensed financial advisors.

  • Deliver live and virtual training sessions, workshops, and structured coaching engagements.

  • Develop and maintain training materials, including facilitator guides, presentations, job aids, call examples, scenarios, role play exercises, and microlearning content.

  • Translate quality findings, detect trends, and regulatory updates into practical, compliance-aligned learning solutions.

  • Partner with Compliance, Legal, and business teams to ensure training content reflects current Financial Industry Regulatory Authority (FINRA) rules and firm policy.

  • Independently conduct call monitoring and interaction reviews for licensed advisors using established quality standards.

  • Analyze performance trends related to suitability, disclosures, tone, and client communication.

  • Provide consultative coaching and feedback to improve advisor performance and reduce regulatory risk.

  • Maintain documentation supporting supervisory oversight, internal audits, and regulatory examinations.

  • Identify and escalate systemic quality or compliance risks with evidence-based recommendations.

Qualifications

  • Bachelor’s degree in business, finance, or related field

  • Five years of experience in financial services training, quality assurance, or performance management

  • Experience designing and delivering training and performing call quality reviews for licensed professionals

  • Strong working knowledge of FINRA regulations, supervision requirements, advisor disclosures, and suitability standards

  • Ability to translate quality and compliance findings into effective learning solutions

  • Proficient in MS Word, Excel, PowerPoint, and Articulate Storyline or equivalent eLearning authoring tools

  • Strong communication, facilitation, coaching, and presentation skills

Preferred Qualifications

  • FINRA Series 6 with FINRA Series 65 or equivalent
  • Experience in brokerage, wealth management, insurance, or investment advisory environments
  • Experience supporting regulatory examinations or internal audits
  • Familiarity with learning management systems, call monitoring platforms, and quality scoring tools
  • Background in adult learning principles or instructional design

Working Conditions

  • Hybrid Office Environment
  • Occasional Travel <10%
  • Occasional travel for training sessions or meetings

The Salary for this position generally ranges between $80,000-$95,000 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 7.5% 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.