FINRA Licensed Suitability Manager
Job Summary
Leading a team within Enterprise Supervision, the full-time FINRA Licensed Suitability Manager will provide strategic leadership and operational oversight for suitability supervision activities, ensuring compliance with regulatory requirements while promoting a culture of accountability and continuous improvement in a remote environment.
Key responsibilities
- Oversee suitability review activities, ensuring consistent application of regulatory and internal requirements
- Establish performance expectations and metrics aligned with strategic priorities
- Evaluate and enhance suitability controls in response to regulatory changes and emerging risks
Required qualifications
- College degree or equivalent work experience required
- 10+ years of experience in the financial services industry or compliance
- Extensive knowledge of FINRA/SEC/IA/MSRB rules and regulations
- Strong leadership experience in training and developing team members
- FINRA Series 4, 7, 24, 52, 53, 66, or 63/65 required or to be obtained within 90 days of hire
Complete Job Description
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