State Licensed VP of Supervision

Job Summary

A company is looking for a Vice President, Enterprise Supervision.

Key Responsibilities

• Lead the design and execution of enterprise supervision programs in compliance with regulatory requirements
• Oversee Suitability, National Supervision, Field Risk Management, and Branch Examinations
• Partner with senior leaders to develop and implement supervision policies and controls

Required Qualifications

• College degree or equivalent industry experience required
• FINRA licenses: Series 7, 63/65 or 66, and 24 required or to be obtained within 90 days of hire
• 10+ years of industry and supervisory/risk management experience
• Extensive supervisory experience in financial services with knowledge of regulatory environments
• Demonstrated experience in leading significant change initiatives and managing diverse teams