Position Overview:
The firm is seeking a registered Broker-Dealer Supervisor to support its supervisory and compliance framework. This individual will be responsible for overseeing the activities of associated persons and ensuring adherence to applicable securities laws, regulations, and firm policies. The role offers the opportunity for hands-on training and development within a structured supervisory environment.
Key Responsibilities:
- Supervise the activities of registered representatives to ensure compliance with firm Written Supervisory Procedures (WSPs) and applicable regulatory requirements
- Conduct trade surveillance and exception-based reviews to identify potential compliance concerns, including suitability and sales practice issues
- Perform reviews in accordance with Regulation Best Interest (Reg BI), including evaluation of recommendations and documentation supporting the best interest standard
- Review and approve customer accounts, transactions, and correspondence, as applicable
- Participate in branch office inspections and ongoing supervisory reviews in accordance with regulatory requirements
- Identify, escalate, and document compliance matters and potential violations
- Assist in maintaining and enhancing the firm’s supervisory system, including WSPs, surveillance processes, and related controls
- Support regulatory inquiries, audits, and internal reviews as needed
Qualifications:
- Active FINRA registrations: Series 7 and Series 24 (required)
- Strong understanding of broker-dealer supervisory obligations, trade surveillance, and regulatory framework (including Reg BI)
- Excellent organizational, analytical, and communication skills
- Ability to exercise sound judgment and escalate issues appropriately
- Prior supervisory or compliance experience preferred, but not required; training will be provided
Compensation:
- Base Salary: $75,000 annually plus discretionary bonus
Additional Information:
This role is designed for individuals seeking to build or further develop supervisory experience within a broker-dealer environment. The firm is committed to maintaining a robust compliance culture and providing the necessary training and resources for success.
Pay: From $75,000.00 per year
Benefits:
- 401(k)
- Dental insurance
- Health insurance
- Paid time off
License/Certification:
Work Location: In person
