Managing Director, Broker-Dealer Supervision NewEdge Capital Group LLC Fort Lauderdale, FL Job Details Full-time 16 hours ago Qualifications Surveillance operations Employee onboarding Investment firm experience Transaction monitoring Staff supervision Team supervision Operations coordination Investment operations Incident Escalation Performance management Compliance management implementation Securities law compliance support experience Series 24 Relationship management Regulatory compliance analysis Senior level Onboarding process management Escalation handling Communication skills Experience at securities companies Internal controls management Senior leadership 10 years Full Job Description About the Role NewEdge Securities is seeking a seasoned supervisory professional to serve as Managing Director of Broker-Dealer Supervision. This senior leader owns the design, implementation, and day-to-day management of the firm's supervisory framework across all registered representative and branch activity. The role is distinct from the compliance function and focuses on day-to-day operational supervision ? ensuring the firm meets its FINRA Rule 3110 obligations and that supervisory controls are embedded in business processes firm-wide.

Location:

The ideal candidate will report to one of the following offices: Pittsburgh, PA; Stamford, CT; or Fort Lauderdale, FL. However, remote candidates are encouraged to apply. Key Responsibilities Ensure alignment with Firm WSPs, current regulatory requirements and actual business practices Execute daily supervisory review of registered representative activity across equities, fixed income, options, alternative investments, and annuity/insurance products Oversee onboarding supervision of registered representatives, including review of U4/U5 filings and disclosure events Manage escalation of supervisory findings to senior leadership; partner with the CCO where matters have compliance or regulatory implications Supervise and develop the supervision team; set performance standards and manage workflow Oversee CAT reporting obligations and ensure accuracy and timeliness of submissions in coordination with operations Oversee TRACE reporting supervision for fixed income transactions, including exception review and error remediation Administer and leverage Smarsh for electronic communications surveillance, including email and correspondence review Administer and leverage Protegent for supervisory exception reporting and trade review Monitor FINRA Notices and rule updates with direct supervisory implications and update WSPs accordingly Coordinate with NFS on operational supervision matters related to the clearing relationship Support FINRA cycle examinations and for-cause inquiries as the subject matter expert on supervisory systems and procedures Maintain the firm's supervisory review logs and exception reporting infrastructure Qualifications 10+ years of broker-dealer supervision experience in a FINRA-regulated environment Active Series 24 required; Series 9/10 a plus given options and equities business lines Deep working knowledge of FINRA Rule 3110, 3120, 3130, and related supervisory obligations Hands-on experience with trade review and electronic communications surveillance platforms including email and correspondence review; familiarity with Protogent preferred Experience supervising across multiple product types including equities, fixed income, options, alternative investments, and annuities/insurance products Experience with FINRA examination processes, particularly in a supervisory capacity Proven ability to build and manage supervisory systems and procedures in a growing or evolving firm Strong written communication skills; WSP drafting experience required Excellent interpersonal and management skills with ability to work across the spectrum of clients, business partners and regulators Must possess complex problem-solving skills to deal with the daily challenges that arise from supervising registered representatives that engage in multiple and different lines of business Ability to address issues in an efficient manner in a fast-paced environment Correspondent broker-dealer experience a plus Investment advisor experience a plus