Compliance Supervisor - Broker Dealer

NewEdge Capital Group•Pittsburgh, PA

About The Position

Growing, dynamic, entrepreneurial broker dealer seeking an experienced, self-motivated, outgoing Compliance Supervisor who enjoys working in a team environment while executing responsibilities independently. In particular, we are looking for someone who will report directly to the Managing Director of Supervision and play a daily role in the firm’s supervision of registered representatives. This person must be capable of providing a balance of exceptional service, flexibility and pragmatic judgment while functioning at a high level in real time to keep up with our teams.

Requirements

Bachelor’s degree in related field preferred.
FINRA Series 7 & 24 Licenses
2+ years Broker/Dealer Supervisory experience.
Excellent verbal and written communication skills.
Excellent interpersonal and customer service skills.
Proficient in Microsoft Office Suite or related software.
Excellent organizational skills and attention to detail.
Strong understanding of the Broker Dealer supervision as well as a thorough knowledge of relevant SEC, FINRA, SEC and State securities laws.
Ability to analyze situations for compliance and business risk and implement solutions to address and mitigate such risk.
Ability to work independently and multi-task.
Ability to communicate with highest level of management internally and externally.

Nice To Haves

Custodian experience with National Financial Services/Fidelity a plus.

Responsibilities

As a Firm Principal performs primary supervision and activity surveillance for assigned branch offices.
Performs required supervisory functions such as advertising review, daily transaction monitoring, suitability review, utilizing the firm’s compliance vendors (such as Orion Compliance, FIS Protegent and Global Relay).
Partners and collaborates with various departments to address needs and requests of clients and advisors.
Escalation source for teams to help analyze situations and provide solutions while mitigating risk.
Serves as primary regulatory contact for assigned branches and registered reps.
Investigates, assists and remediates potential violations of compliance program elements.
Assists in preparing responses to regulatory inquiries from the SEC, FINRA, and state regulators.
Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to broker-dealers.
Conducts employee training with respect to the compliance program.
Special projects as needed.