Director, Supervisory Principal
DiversifySandy, Utah, United States
Posted January 6, 2026
Full Time
About the Company
Diversify Advisor Network is the future of wealth management, with a focus on cultivating a family-like culture and providing institutional-grade resources.
Job Description
We are seeking a Director, Supervisory Principal to lead our supervisory infrastructure and ensure compliance with all applicable rules, regulations, and firm policies. The ideal candidate will have deep knowledge of FINRA and SEC regulatory frameworks, strong leadership skills, and experience managing high-performing supervisory teams.
Requirements
- Series 24 license
- Series 7
- Series 63 and 65 (or series 66)
- Series 53 a plus
- Minimum of 5 years in brokerage and/or advisory supervision, compliance, or risk management within a dual registrant or hybrid RIA/BD firm
- Proven experience managing teams and interacting with advisors and senior leadership
- Demonstrated expertise in FINRA, SEC, and state regulatory frameworks including rules related to supervision, sales practices, disclosures, and fiduciary standards
Benefits
- Medical with HSA and FSA options
- Dental
- Vision
- 401(k) with a generous company match
- Access to a personal financial planner
- Unique investment options
- 4 weeks paid time off
- 12 paid holidays
- 2 days for giving back
