Director, Supervision – Broker Dealer

This is a fully remote position, open to applicants in United States.

📋 Description

• Direct the broker-dealer supervisory program while ensuring adherence to relevant laws, regulations, and company policies.

• Oversee, mentor, and develop Regional Supervisory Principals, delivering leadership and managing performance.

• Set strategic goals for the supervision function in alignment with enterprise compliance objectives.

• Manage supervisory tasks, including approvals for new accounts, trade evaluations, assessments of variable annuity and insurance products, branch monitoring, and enhanced supervision initiatives.

• Maintain and improve Written Supervisory Procedures (WSPs) alongside supervisory controls.

• Recognize emerging supervisory risks and execute monitoring programs and surveillance improvements.

• Lead preparations for regulatory examinations and coordinate responses to regulatory inquiries and internal audit results.

• Compile and present monthly and quarterly supervision reports to the executive leadership team.

• Create and provide supervisory training for registered representatives, principals, and field leaders.

• Promote a culture of compliance through effective communication, leadership, and ongoing improvement.

⛳️ Requirements

• Bachelor's degree in Business, Finance, or a related discipline, or equivalent professional experience.

• Over 10 years of experience in broker-dealer compliance and supervision, with a minimum of 5 years in a leadership position.

• In-depth understanding of FINRA, SEC, and state securities regulations.

• Proven experience in supervising variable annuities, mutual funds, alternative investments, and retirement products.

• Required licenses include FINRA SIE, Series 7, 24, 51, and 63/65 or 66.

• Demonstrated skills in leadership, communication, relationship management, and regulatory engagement.

🏝️ Benefits

• Salary is based on experience, location, and other relevant factors.