Deputy Head of Supervision

Job Summary

A company is looking for a Deputy Head of Supervision to support firm-wide supervisory oversight.

Key Responsibilities

• Support compliance with FINRA rules, SEC regulations, and state securities laws
• Design, implement, and enhance the firm's supervisory system in accordance with FINRA Rule 3110
• Oversee supervisory reviews and serve as a supervisory escalation point for complex matters

Required Qualifications

• Bachelor's degree required
• Minimum of 10 years of experience in the financial services industry in a supervision or compliance role
• Series 7, 24, 63 and 66 or 65 registrations required; Series 4 and 53 desired
• Experience managing and developing senior professionals
• Strong knowledge of FINRA Rule 3110, SEC regulations, and state securities laws