Supervision Specialist

Responsibilities

• Perform principal review and supervision of securities and direct business transactions across a complex book of business.
• Directly oversee assigned Financial Representatives by reviewing and approving new accounts, trading activity, correspondence, and ongoing account activity.
• Provide guidance, coaching, and education to Financial Representatives and their staff regarding supervision standards, suitability, and firm expectations.
• Identify, assess, and address potential sales practice issues and regulatory concerns through detailed account and activity reviews.
• Partner closely with Compliance, Legal, Risk, Operations, Supervision leadership, and Home Office teams to address issues and implement solutions.
• Discuss supervisory concerns or potential violations directly with representatives and recommend corrective actions as appropriate.
• Assist Supervision leadership with process improvements, mentoring junior staff, and departmental initiatives.
• Promote a strong culture of compliance, accountability, and risk awareness across the field.

Requirements

• Bachelor’s degree required.
• FINRA Series 7, 24, and 63 required.
• FINRA Series 65 or 66 required.
• FINRA Series 4 and 53 required (or ability to obtain within 6 months of hire if not already held).
• 3+ years of progressive securities industry experience, including significant compliance and supervisory responsibilities.
• 3+ years of supervisory, principal, compliance, or sales leadership experience within the brokerage industry.
• Working knowledge of securities products and services, including stocks, bonds, mutual funds, UITs, ETFs, REITs, annuities, options, alternative investments, and advisory products.
• Deep understanding of FINRA rules, regulatory requirements, suitability standards, and supervisory best practices.
• Strong critical‑thinking, decision‑making, and risk‑assessment skills.
• Excellent written and verbal communication skills, with the ability to engage effectively with representatives, leadership, and regulators.
• Demonstrated ability to operate independently in a fast‑paced, time‑sensitive, supervisory environment.

Nice to Have

• Additional FINRA licenses or industry certifications.
• Insurance licenses.
• Prior independent broker‑dealer experience.
• Experience with systems such as Pershing, NFS, Smarsh, Albridge, Protegent, Salesforce, and Docupace.
• Experience supporting M&A, region growth efforts, complex supervision matters, or firm‑wide initiatives.