FINRA Licensed Director of Supervision

Job Summary

Leading the firm's broker-dealer supervisory program, the full-time remote FINRA Licensed Director of Supervision will ensure compliance with regulatory requirements while overseeing regional supervisory principals and enhancing surveillance programs.

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
• Prepare and present monthly and quarterly supervision reports to executive leadership

Required Qualifications

• 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
• FINRA SIE, Series 7, 24, 51, and 63/65 or 66 licenses required
• Experience supervising variable annuities, mutual funds, alternative investments, and retirement products