Senior Advisor, Training & Quality Assurance Consultant – Advice Center

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 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 elevate systemic quality or compliance risks with evidence-based recommendations.

• 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.