Series 24 REQUIRED Financial Supervision & Surveillance Analyst
Description
MUST have series 24, 7, series 6, series 63, series 66, Texas Life and Health Agent,, compliance manual, written supervisory procedures, sales approval matrix, FIS Protegent, NetX360
Additional Skills & Qualifications
Expert Level
Job Type & Location
This is a Contract to Hire position based out of Charlotte, NC.
Pay And Benefits
The pay range for this position is $55.00 - $70.00/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:
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.
- Ownership of Supervision reporting and analytics, which will be reviewed by Supervision Principals, Client Leadership; to include the SLT, ELT and Supervision Leadership in order to provide insight on Field and Home Office activity.
- Manage and analyze ad hoc reports for use by Supervision Principals and Supervision leadership.
- Develop and maintain regular reports using Excel and Power BI to track supervision metrics and identify trends.
- Ensure accuracy and timeliness of all reports and analytics.
- Provide insights and recommendations based on data analysis to improve supervision processes.
- Provide feedback and recommendations to Supervision Leadership for decisions regarding capacity and productivity.
- Supervision systems, policies, and procedures Subject Matter Expert.
- Will serve as liaison between Supervision and our internal business partners to communicate and assist with the resolution of outstanding issues; business partners include BIS, Financial Planning, Compliance, Transfer Agency, Insurance Operations, Product Management and Advisor Operations.
- Responsible for gathering all required documentation associated with regulatory inquiries and Supervision investigations.
- Assist in the development and implementation of new processes and procedures to improve efficiency and effectiveness.
- Responsible for adopting new technology and assist in the facilitation of training of the Supervision Principals.
- Conducts annual reviews of Supervision policy and procedure documents.
- Manages the tracking and updates of the Supervision policy and procedure documents.
- Interact with Internal and external business partners on behalf of the Supervision Principals when needed, which includes answering inbound calls and responding to emails.
- Knowledge of Written Supervisory Procedures (WSP), Compliance Manual (CM), and Sales Approval Matrix.
- Performs other duties as required.
MUST have series 24, 7, series 6, series 63, series 66, Texas Life and Health Agent,, compliance manual, written supervisory procedures, sales approval matrix, FIS Protegent, NetX360
Additional Skills & Qualifications
- Bachelor's Degree required in a related field (Experience may be considered)
- 5 years of Financial Services experience is required (Experience in an Analyst capacity may be considered)
- 2 years of advanced excel experience is required.
- FINRA Series 99 required or must obtain within 180 days of employment.
- Working towards FINRA Series 7, 24, 63 and 66 licenses
- Working towards Texas Life and Health Agent
Expert Level
Job Type & Location
This is a Contract to Hire position based out of Charlotte, NC.
Pay And Benefits
The pay range for this position is $55.00 - $70.00/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 fully remote position. Application Deadline This position is anticipated to close on Feb 28, 2026. h4>About TEKsystems: We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.
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.