Supervisor BD/RIA (Series 7&24)

San Blas Securities•Atlanta, GA

4d•$65,000 - $115,000•Onsite

About The Position

San Blas Securities is seeking a highly organized, detail-oriented Compliance Supervisor to support its regulatory and compliance efforts. The role works with the Compliance team led by the Chief Compliance Officer in a collaborative environment. Based in Chicago, the full-time position requires less than 10% travel and supports the firm’s obligation under FINRA Rule 3110 to maintain a supervisory system reasonably designed to achieve compliance with applicable securities laws, regulations, and FINRA rules. Compensation is $80,000–$100,000, with a bonus based on experience.

Requirements

Bachelor’s degree or equivalent experience.
FINRA Series 7 and FINRA Series 24 required.
3–5 years of relevant experience at an RIA and broker-dealer, or with an industry regulator.
Working knowledge of the Investment Advisers Act, the Investment Company Act, related regulatory requirements, and the application of SEC rules.

Nice To Haves

Familiarity with RBC and Schwab back-office systems.

Responsibilities

Review and enforce the firm’s Written Supervisory Procedures and compliance initiatives.
Manage the firm’s onboarding training program for compliance with new hires.
Schedule new-hire training.
Assist in administering annual firm training and advisor attestations.
Schedule targeted training as required.
Foster a culture of compliance.
Document supervisory activities.
Review advisors’ purchase and sales blotters.
Review advisors’ communications to and from clients.
Review and report customer complaints to the Chief Compliance Officer.
Assist in conducting branch exams.
Assist in reviewing and following up on compliance exception reports that require action from supervisors.