FINRA Licensed Supervision Director

Job Summary

A company is looking for a Director of Supervision responsible for overseeing the daily transactions and activities of registered representatives and investment advisor representatives.

Key Responsibilities

• Supervise sales activities and review daily trade activity for registered representatives and investment advisor representatives
• Document representative activity and issues, providing monthly reports to Field Leadership
• Manage team performance, ensuring workload distribution and providing guidance and training as necessary

Required Qualifications

• 7+ years of supervisory experience with a Broker/Dealer or RIA
• Proficiency with FIS or comparable surveillance platforms
• Working knowledge of securities and insurance industry regulations
• Bachelor's degree preferred
• FINRA Series 7, 24, 66 required; Series 53 and 4 or ability to obtain within 6 months