Deputy Head of Supervision

Job Summary

A company is looking for a Deputy Head of Supervision.

Key Responsibilities

• Support compliance with FINRA rules, SEC regulations, and state securities laws
• Assist in the design and enhancement of the firm's supervisory system
• Oversee supervisory reviews and serve as an escalation point for complex matters

Required Qualifications

• Bachelor's degree required
• Minimum of 10 years of experience in financial services, in supervision or compliance
• 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 and SEC regulations