Job Description
We are seeking a distinguished compliance leader to work exclusively with our elite advisor teams, driving compliance excellence and strategic insight. As the Director of Supervision for these firms, you will report to the network office Chief Supervisor and will collaborate with all supervision and firm team members. Your proven experience in compliance, supervision, risk management, and client engagement will enable you to proactively identify opportunities and mitigate challenges, while collaborating closely with the firms, cross-territory network office leaders, and corporate partners to understand the intricacies of their practices and design tailored solutions. Responsibilities Primary Contact for
Firms:
Act as the principal point of contact for compliance related matters, ensuring seamless communication and collaboration. Business Supervision:
Oversee transactions and compliance systems, ensuring accuracy and alignment with regulatory standards. Investment Operations, Training, and Consulting:
Case consults, open advisory accounts. Escalation Management:
Collaborate with corporate compliance experts, legal teams, and field leaders on escalations and sensitive requests, as we work to derive solutions to complex challenges. Clearly communicate and document action plans, responsibilities, and results with all involved parties. Compliance Liaison:
Serve as the liaison between the firms and the local network office supervision team and corporate compliance function, enabling cooperation and timely communication in a fast-changing environment. Supervision of Firm Members:
Supervise all team members, regardless of their primary contract relationship, fostering a cohesive and high-performing team. Facilitate Cross-Territory Communication:
Enhance communication among all managing partners and supervisors, ensuring alignment and synergy on compliance and strategic goals. Duties Participate in local leadership meetings to provide relevant updates, ensure transfer of pertinent information, and collaborate with other network office leaders including network office supervisors, growth officers, and marketing officers to curate in a cohesive leadership team. Attending team meetings to fully understand the client base, business objectives, team roles and responsibilities, and long-term strategy. Maintain all necessary books and records in connection with your supervisory role for the Offices of Supervisory Jurisdiction, Registered Branch Offices, and other field locations as required by FINRA and applicable regulators. Complete on-site inspections for all firm member locations, client file reviews, and compliance-related interviews for all members. Deliver results and facilitate any necessary remediations. Perform review and supervision of multiple systems, including escalated email and social media correspondence, transaction and trend supervision, and compliance monitoring systems. Support for onboarding and training team members, offboarding, and navigating contract, license, and registration processes. Develop supervisory plans to address non-standard behavior or sales practice concerns when applicable. Qualifications Active and valid FINRA Series 7, 9/10, and 63 registrations are required; Series 7, 24, 4, 53, and 63 may be considered in lieu. Active Life/Health licenses or obtain within first month. 5+ years of progressive industry experience with an emphasis in areas of compliance and supervision. Broad understanding of marketing, operations, and practice management to help firm identify solutions. Strong working knowledge of standard industry and regulatory policies and procedures. Sound decision-making skills; demonstrated success using analysis, experience, and judgment to arrive at a conclusion or recommendation. Demonstrate a strong sense of urgency when completing tasks, while still performing at the highest levels. Exceptional written and oral communication skills and experience handling highly sensitive communications. Ability to maintain confidentiality and exercise discretion, with a clear understanding of what information can be shared across organizations and with peers and what information is proprietary. Ability to identify issues, trends, and potential underlying causes with the objective of addressing them. Highly detailed and data-oriented with solid critical thinking, organizational and analytical skills. Ability to prioritize workload and seek support when appropriate, and to work across several teams. Pay range and compensation package $115,000-140,000/year. The provided compensation range is based on industry standards and salary determinations will be made based on numerous factors including but not limited to years of experience and location of position. Pay:
$115,000.00 - $140,000.00 per year License/Certification:
FINRA Series 7, 9/10, and 63 registrations (Preferred) Work Location:
In person
