Director of Supervision

Job Summary

A company is looking for a Director of Supervision responsible for overseeing daily transactions and activities of Registered Representatives and Investment Advisor Representatives.

Key Responsibilities

• Provide training on company policies, trading operations, and regulatory compliance
• Supervise sales activities and perform suitability reviews for investment sales
• Manage team performance and document representative activity for reporting

Required Qualifications

• 7+ years of supervisory experience with a Broker/Dealer or RIA
• Proficiency with FIS or similar surveillance platforms
• Experience in managing and leading a successful team
• Working knowledge of securities and insurance regulations
• Bachelor's degree preferred; FINRA Series 7, 24, 66 required