Supervisory Analyst

Firm Background

U.S. Capital Wealth (“USCW”) is an independent full-platform wealth management firm headquartered in Houston, Texas, managing approximately $12 billion in AUM/A across over 5,500 clients and 60+ financial advisors. USCW has a strong footprint in Texas across Houston, Austin, Dallas, and Georgetown, as well as offices in New York City and Massachusetts. USCW is majority owned by Arax Investment Partners (“Arax”), a premier wealth management platform company backed by RedBird Capital Partners (“RedBird”).

USCW’s mission is to combine the deep experience and expertise of its financial advisor teams with the significant breadth and depth of its investment strategies and solutions to deliver an exceptional client experience.

Position Description

Job Title: Supervisory Analyst

Reports To : Control Officer

Status: Full-Time, exempt, in-office

Location: Houston, TX

Job Summary: The Supervisory Analyst is a FINRA licensed individual responsible for assisting the Branch Manager and Control Officer in day-to-day supervision, record-keeping, operations, and team communication tasks.

Key Responsibilities:

• Supervision and Support: Assist the supervisory team in overseeing day-to-day operations (new accounts, email review, advertising & marketing material, seminars, webinars, etc.) and providing guidance to team members.
• Compliance/Operational Oversight: Monitor advisor activities (daily trade review, exception reports, discretionary account review, fee-based planning agreements, etc.) to ensure compliance with regulatory requirements and internal policies and procedures.
• Collaboration with Compliance: work with the supervisory team and the compliance department, providing feedback and suggestions as it pertains to current and future policies and procedures.
• Audit assistance:  Assist with any FINRA or SEC audits as needed
• Administrative: Daily support to Branch Manager and Control Officer including phone coverage, supervisory logs, ad hoc report generation.
• Serve as back-up in Branch Manager’s and/or Control Officer’s absence

Qualifications:

• Bachelor’s degree in business administration, Finance, or related field
• 5+ years of experience in financial services in sales supervision, operations, and/or compliance
• Active General Securities Principal Series 24
• Proficiency in Microsoft Office Suite and financial software/systems (custodian platforms, portfolio management, financial planning, CRMs) with a focus on Excel, data management systems and report generation.
• Excellent interpersonal and communication skills.
• Strong organizational and time management skills with great attention to detail
• Ability to work independently and collaboratively in a dynamic environment.
• Knowledge of regulatory requirements and industry best practices.
• Adaptability and commitment to professionalism and client service.

Salary and Benefits:

• Competitive based on industry standard
• Salary will be based on experience
• Benefits include medical, dental, vision, life, disability, 401(k), and paid time off
• Potential for bonus
• Financial support for professional accreditation & continuing education