Dir Supervision - Broker Dealer

Job Title: Director, Supervision – Broker Dealer

Location: Remote 

Position Summary

Leads the firm's broker-dealer supervisory program, ensuring compliance with FINRA, SEC, and state regulatory requirements. Oversees regional supervisory principals, drives supervisory strategy, enhances surveillance programs, and partners with Compliance leadership to maintain a strong culture of regulatory compliance and risk management. 

Key Responsibilities

• Lead the broker-dealer supervisory program and ensure compliance with applicable laws, regulations, and firm policies.
• Supervise, coach, and develop Regional Supervisory Principals, providing leadership and performance management.
• Establish strategic objectives for the supervision function aligned with enterprise compliance goals.
• Oversee supervisory activities, including new account approvals, trade reviews, variable annuity and insurance product reviews, branch surveillance, and heightened supervision programs.
• Maintain and enhance Written Supervisory Procedures (WSPs) and supervisory controls.
• Identify emerging supervisory risks and implement monitoring programs and surveillance enhancements.
• Lead regulatory examination preparation and coordinate responses to regulators and internal audit findings.
• Prepare and present monthly and quarterly supervision reports to executive leadership.
• Develop and deliver supervisory training for registered representatives, principals, and field leaders.
• Foster a culture of compliance through effective communication, leadership, and continuous improvement. 

Requirements

• Bachelor's degree in Business, Finance, or a related field or equivalent experience.
• 10+ years of broker-dealer compliance and supervisory experience, including at least 5 years in a leadership role.
• Strong knowledge of FINRA, SEC, and state securities regulations.
• Experience supervising variable annuities, mutual funds, alternative investments, and retirement products.
• FINRA SIE, Series 7, 24, 51, and 63/65 or 66 licenses required.
• Proven leadership, communication, relationship management, and regulatory interaction skills. 

Preferred Qualifications

• Experience leading supervisory technology, surveillance, or workflow modernization initiatives.
• Demonstrated ability to build and lead high-performing compliance teams in a regulated financial services environment.

 

Salary Range - $105,200.00 - $147,950.00

• Salary is commensurate to experience, location, etc.

Job Title: Director, Supervision – Broker Dealer

Location: Remote 

Position Summary

Leads the firm's broker-dealer supervisory program, ensuring compliance with FINRA, SEC, and state regulatory requirements. Oversees regional supervisory principals, drives supervisory strategy, enhances surveillance programs, and partners with Compliance leadership to maintain a strong culture of regulatory compliance and risk management. 

Key Responsibilities

• Lead the broker-dealer supervisory program and ensure compliance with applicable laws, regulations, and firm policies.
• Supervise, coach, and develop Regional Supervisory Principals, providing leadership and performance management.
• Establish strategic objectives for the supervision function aligned with enterprise compliance goals.
• Oversee supervisory activities, including new account approvals, trade reviews, variable annuity and insurance product reviews, branch surveillance, and heightened supervision programs.
• Maintain and enhance Written Supervisory Procedures (WSPs) and supervisory controls.
• Identify emerging supervisory risks and implement monitoring programs and surveillance enhancements.
• Lead regulatory examination preparation and coordinate responses to regulators and internal audit findings.
• Prepare and present monthly and quarterly supervision reports to executive leadership.
• Develop and deliver supervisory training for registered representatives, principals, and field leaders.
• Foster a culture of compliance through effective communication, leadership, and continuous improvement. 

Requirements

• Bachelor's degree in Business, Finance, or a related field or equivalent experience.
• 10+ years of broker-dealer compliance and supervisory experience, including at least 5 years in a leadership role.
• Strong knowledge of FINRA, SEC, and state securities regulations.
• Experience supervising variable annuities, mutual funds, alternative investments, and retirement products.
• FINRA SIE, Series 7, 24, 51, and 63/65 or 66 licenses required.
• Proven leadership, communication, relationship management, and regulatory interaction skills. 

Preferred Qualifications

• Experience leading supervisory technology, surveillance, or workflow modernization initiatives.
• Demonstrated ability to build and lead high-performing compliance teams in a regulated financial services environment.

 

Salary Range - $105,200.00 - $147,950.00

• Salary is commensurate to experience, location, etc.