We need experienced compliance leaders to help us deliver integrity and continuous improvement. As a senior supervision professional, you will design, implement, and enhance supervisory systems that meet complex regulatory requirements and support business growth.
Requirements
- Support firm-wide compliance with FINRA rules, SEC regulations, and applicable state securities laws.
- Assist in the design, implementation, documentation, and enhancement of the firm's supervisory system in accordance with FINRA Rule 3110.
- Oversee supervisory reviews of registered representatives, principals, branch offices, OSJs, and remote locations.
- Provide oversight of supervisory systems including trade review, transaction surveillance, and electronic communications.
- Serve as a supervisory escalation point for complex matters.
- Assist with FINRA and SEC examinations and remediation of findings.
- Monitor regulatory developments and support implementation of rule changes.
- Partner with Compliance, Legal, and Risk teams on regulatory matters.
- Maintain strong working knowledge of the Investment Advisers Act of 1940 and fiduciary obligations.
- Support supervision of dual-registered representatives.
- Coordinate cross-functional initiatives and provide updates to senior leadership.
Benefits
- Inclusive health, dental, vision and life insurance plans
- Easy access to mental health benefits
- 20 plus days of paid time off (PTO)
- Paid holidays
- 2 paid wellness days
- 401(k) Savings plan with a generous company contribution
- Paid parental leave
- Health Savings and Flexible Spending Account options
- Employee Assistance Program (EAP)
- LifeLock
- Pet Insurance
