Sr. Compliance and Supervision Officer

Jobgether

4d • Remote

About The Position

This role offers the opportunity to serve as a senior regulatory and supervisory leader within a fast-growing, fully-remote financial services environment. You will act as the primary escalation point for complex compliance matters, providing expert guidance on FINRA and SEC regulations while ensuring operational decisions are both practical and defensible. The position combines strategic oversight, hands-on execution, and cross-functional collaboration to maintain regulatory integrity and enable business continuity. You will support high-stakes capital markets transactions, oversee broker-dealer operations, and strengthen supervisory frameworks. Success in this role requires deep regulatory expertise, a strong execution mindset, and the ability to navigate complex, high-risk situations with clarity and confidence.

Requirements

• Bachelor’s degree in Finance, Business, or related field.
• Active FINRA Series 24 license required; Series 79, 82, and 63 strongly preferred.
• CAMS or equivalent AML certification preferred.
• Minimum 10 years of experience in broker-dealer compliance and supervision.
• Deep knowledge of FINRA and SEC regulations and demonstrated experience with regulatory inquiries or examinations.
• Experience supporting capital markets transactions in a broker-dealer environment.
• Strong regulatory judgment, accountability, and ability to manage complex or high-risk situations.
• Detail-oriented, organized, and capable of navigating shifting priorities in a fast-paced environment.
• Excellent written and verbal communication skills, with proficiency in regulatory systems such as FINRA Gateway and Google Workspace.
• Ability to work during Pacific Time Zone business hours (GMT -7).

Responsibilities

• Serve as the primary escalation point for complex compliance and supervisory issues arising from the operations team.
• Assess regulatory risk, provide clear guidance, and drive timely resolution of escalated matters.
• Participate in regulatory inquiries, examinations, and audits, coordinating stakeholders and reviewing responses.
• Provide expert interpretation of FINRA and SEC rules and ensure consistent application across teams.
• Support compliance programs, including annual Rule 3120 reviews, testing, and onboarding of registered representatives.
• Review advertising, marketing materials, and internal procedures to ensure regulatory compliance.
• Provide Series 24 supervisory oversight of broker-dealer operations, capital raises, and M&A transactions.
• Strengthen supervisory frameworks, policies, and controls while collaborating with Legal, Compliance, Product, and Engineering teams.

Benefits

• 100% remote work flexibility.
• Competitive USD salary.
• High-speed internet allowance.
• Generous paid time off plus 17 additional flexible days.
• People team partner for personalized career development and growth planning.
• Buddy program and virtual team engagement activities.
• Inclusive and diverse company culture.
• Opportunity to work in a fast-paced, entrepreneurial environment with exposure to complex regulatory and capital markets work.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level