Supervision Compliance Manager

Job Summary

A company is looking for a Supervision Compliance Manager.

Key Responsibilities:

• Conduct supervision of account activity and the opening and approving of new accounts for securities and options
• Build and iterate on written policies and procedures to comply with supervision obligations
• Provide advice and support to stakeholders on policies, controls, and regulatory rules

Required Qualifications:

• 5+ years of experience in a brokerage environment with expertise in supervision
• Completed necessary licensing courses and registration as a Supervisor
• Comprehensive knowledge of regulatory requirements for conducting supervision of securities and options trading accounts
• Ability to link business imperatives and regulatory requirements
• Strong analytical and problem-solving skills with attention to detail