Intermediate Advisor – Training and Quality Assurance Consultant

Responsibilities

• Design, update, and maintain onboarding and refresher training programs for licensed financial advisors.
• Deliver live and virtual training sessions and structured coaching engagements.
• Develop training materials, including presentations, job aids, scenarios, and microlearning content.
• Apply quality standards to conduct call monitoring and interaction reviews for licensed advisors.
• Identify performance gaps related to disclosures, suitability, and client communication.
• Provide feedback and coaching to improve advisor effectiveness and reduce compliance risk.
• Document quality findings and training activities to support supervisory oversight.
• Partner with Compliance and business teams to ensure training content aligns with firm policy.

• Bachelor’s degree in business or finance
• Two years of experience in financial services training, quality assurance, or performance management
• Experience delivering training or coaching for licensed professionals
• Working knowledge of Financial Industry Regulatory Authority (FINRA) rules and advisor supervision standards
• Proficient in MS Word, Excel, and Power Point
• Experience in brokerage, wealth management, insurance, or investment advisory environments (Preferred)
• Familiarity with learning management systems, eLearning tools, or call monitoring platforms (Preferred)
• FINRA Series 6 (Preferred)
• FINRA Series 65 or equivalent (Preferred)