What are the responsibilities and job description for the Compliance Specialist - Financial Services position at Claire Myers Consulting?
Director of Supervision
Location: On-site
Job Type: Full-time
Compensation: $90,000 – $120,000 per year
A well-established financial services organization is seeking a Director of Supervision to join their leadership team. This role plays a key part in shaping a culture of compliance and managing risk across the office. The ideal candidate brings a mix of strong compliance knowledge, leadership capability, and the ability to build trusted relationships with financial professionals.
What You’ll Do:
- Review and supervise various systems including flagged email and social media communications, transaction trends, and other compliance monitoring tools
- Conduct on-site inspections, client file reviews, and compliance interviews
- Maintain accurate books and records for field offices in accordance with FINRA requirements
- Provide compliance and risk management guidance to financial representatives and support staff
- Develop supervisory plans to address non-standard behavior or sales practice concerns
- Contribute to the strategic direction of the local compliance program
- Train financial professionals and staff on compliance and regulatory topics
What You’ll Need:
- Active FINRA Series 7, 9/10, and 63 registrations (or Series 7, 24, 4, 53, and 63 as a substitute)
- Active Life/Health licenses or ability to obtain within 3 months
- 5–7 years of experience in the financial services industry with a focus on compliance/supervision
- In-depth understanding of industry regulations and supervisory procedures
- Strong decision-making, critical thinking, and organizational skills
- High attention to detail and ability to handle sensitive communications
- Excellent verbal and written communication skills
What Makes You a Great Fit:
- Comfortable working independently and taking initiative
- Strong communicator and presenter across audiences
- Team-oriented with the ability to partner effectively across leadership
- Skilled at navigating change and adapting to new regulations
- Proven ability to manage relationships and provide sound compliance guidance
Salary : $90,000 - $120,000
