Associate Regional Director - Supervision Principal
About The Position
We are seeking an Associate Regional Director to join our Advocacy and Supervision team. In this role, you will support financial professionals and their offices by providing practical supervisory guidance, relationship management, and compliance-focused support. You will partner with Advocacy and Supervision leadership to help ensure assigned activities align with firm policies, procedures, and regulatory expectations while contributing to a collaborative, service-oriented team environment. This opportunity is ideal for someone who brings sound judgment, strong communication skills, and the ability to balance flexibility, accountability, and compliance in a fast-paced broker-dealer environment.
Requirements
- Minimum of 4 years of experience in FINRA compliance, securities supervision, or a related broker-dealer supervisory function.
- Active FINRA Series 7 and Series 24 registrations required.
- Strong understanding of supervisory review, regulatory documentation, licensing requirements, correspondence review, exception reporting, and escalation practices.
- Proficiency with Microsoft Office and Adobe Acrobat required.
Nice To Haves
- Series 51, Series 53, and/or Series 4 registrations preferred.
- Experience with Tableau or similar reporting tools preferred.
- Demonstrated ability to adopt technology, use data and reporting tools effectively, and incorporate AI or automation responsibly to improve daily work activities.
Responsibilities
- Serve as an Office of Supervisory Jurisdiction (OSJ) designee by reviewing and approving correspondence, securities activities, licensing items, Outside Business Activity reports, daily trade blotters, and other supervisory reports for assigned regions.
- Supervise and collaborate with direct reports, including oversight of securities activities, Special Supervisory Plans, licensing requirements, sales activity, policy communication, and follow-up related to firm procedures.
- Support the recruiting and financial professional approval process by reviewing complex business model structures, U4 matters, special exceptions, and other items requiring supervisory judgment.
- Support the supervisory visit process by gathering relevant information, documenting follow-up items, and helping ensure visit-related standards are met.
- Respond to requests for assistance from existing financial professionals, new financial professionals, recruits, staff, sponsor partners, and other stakeholders by troubleshooting issues and identifying practical solutions.
- Process exception reporting, document trends, and elevate insights for review by Advocacy and Supervision leadership.
- Maintain working knowledge of key industry topics, internal programs, departmental procedures, and relevant firm resources.
- Support and collaborate with direct reports to review supervisory activities and practice efficiency for those under their supervision.
- Participate in special projects, committees, working groups, and firmwide initiatives that advance strategic goals and process improvements.
Benefits
- Premium benefit package including medical, vision, dental, life and long-term disability insurance
- Vacation/sick time
- 401K retirement plan with company matching program
- Eleven paid holidays
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
