We are seeking a Compliance Manager/ Associate Director of Supervision to support the Managing Partner and Chief Supervision Officer in driving a strong culture of compliance within our network office. In this role, you will help implement our supervision strategy and risk management approach, ensuring our office and representatives remain aligned with regulatory requirements.
This position requires strong problem-solving skills, the ability to evaluate and manage risk, and the capacity to build positive relationships with financial representatives. You’ll play a critical role in maintaining compliance, training staff, and fostering a culture where compliance is seen as a valuable business partner.
Direct Hire, Amazing Benefits! and $100-$105k.
What You’ll Do:
Review and supervise multiple systems, including flagged emails, social media correspondence, transaction/trend activity, and compliance monitoring reports.
Conduct on-site inspections, client file reviews, and compliance interviews with financial representatives and staff.
Maintain books and records for branch offices and supervisory jurisdictions in accordance with FINRA requirements.
Provide guidance and support to financial representatives regarding risk management, policies, documentation, and regulatory changes.
Assist in developing and executing supervisory plans to address sales practices or non-standard behavior.
Deliver compliance resources, training, and updates during monthly meetings and other office communications.
Partner with leadership to strengthen the compliance program and integrate it into network office priorities.
Foster a positive compliance culture by being viewed as a trusted advisor rather than a barrier.
What We’re Looking For:
Active and valid FINRA Series 7, 9/10, and 63 licenses, or ability to obtain within 3 months.
Other equivalent registrations (Series 24, 4, 53, etc.) may be considered.
Active Life/Health insurance license, or ability to obtain within 3 months.
1–5 years of financial services industry experience.
Strong relationship management, listening, and communication skills.
Proven ability to evaluate problems, make quick risk-based decisions, and handle sensitive communications.
Highly detail-oriented, with strong organizational, analytical, and critical thinking skills.
Ability to work independently with minimal guidance, while also collaborating within a larger team.
Adaptability to regulatory changes and new ways of working.
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