Managing Director, Broker-Dealer Supervision

NewEdge Capital Group•Pittsburgh, PA

17h•Hybrid

About The Position

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.

Requirements

10+ years of broker-dealer supervision experience in a FINRA-regulated environment
Active Series 24 required
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
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

Nice To Haves

Series 9/10 a plus given options and equities business lines
familiarity with Protogent preferred
Correspondent broker-dealer experience a plus
Investment advisor experience a plus

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