Compliance Specialist - Financial Services Job at Claire Myers Consulting, Boise, ID

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  • Claire Myers Consulting
  • Boise, ID

Job Description

Director of Supervision

Location: On-site

Job Type: Full-time

Compensation: $90,000 – $120,000 per year

A well-established financial services organization is seeking a Director of Supervision to join their leadership team. This role plays a key part in shaping a culture of compliance and managing risk across the office. The ideal candidate brings a mix of strong compliance knowledge, leadership capability, and the ability to build trusted relationships with financial professionals.

What You’ll Do:

  • Review and supervise various systems including flagged email and social media communications, transaction trends, and other compliance monitoring tools
  • Conduct on-site inspections, client file reviews, and compliance interviews
  • Maintain accurate books and records for field offices in accordance with FINRA requirements
  • Provide compliance and risk management guidance to financial representatives and support staff
  • Develop supervisory plans to address non-standard behavior or sales practice concerns
  • Contribute to the strategic direction of the local compliance program
  • Train financial professionals and staff on compliance and regulatory topics

What You’ll Need:

  • Active FINRA Series 7, 9/10, and 63 registrations (or Series 7, 24, 4, 53, and 63 as a substitute)
  • Active Life/Health licenses or ability to obtain within 3 months
  • 5–7 years of experience in the financial services industry with a focus on compliance/supervision
  • In-depth understanding of industry regulations and supervisory procedures
  • Strong decision-making, critical thinking, and organizational skills
  • High attention to detail and ability to handle sensitive communications
  • Excellent verbal and written communication skills

What Makes You a Great Fit:

  • Comfortable working independently and taking initiative
  • Strong communicator and presenter across audiences
  • Team-oriented with the ability to partner effectively across leadership
  • Skilled at navigating change and adapting to new regulations
  • Proven ability to manage relationships and provide sound compliance guidance

Job Tags

Full time, Local area,

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