Director of Supervision

What will you do in this role?

The Director of Supervision supports the Managing Partner (and or Chief Supervision Officer) in shaping the culture of compliance in the office. You’ll be responsible for developing the supervision strategy and risk management approach for the office. You’ll be a member of the leadership team and will be a trusted compliance advisor to representatives within the office. You’ll draw from personal experiences to inform your work, evaluate risk, and anticipate needs of the office. Finally, you’ll bring an enthusiasm for new ways of working, an eye for efficiency, and an ability to motivate and lead others.

Duties of the role include the following:

· Collaborates with other leaders and integrates compliance into other business functions

· Work as a member of the leadership team to determine the strategic direction of compliance and other business priorities

· Partner with other members of executive leadership team to translate vision into action and drive toward desired outcomes

· Desire to lead the strategic execution of the Network Office compliance and supervision program

· Interpreting data and developing strategic metrics to drive outcomes and mitigate risk

· May perform review and supervision of multiple systems, including, but not limited to, flagged email and social media correspondence, transaction/trend supervision, and compliance monitoring systems

· Potential to complete on-site inspections, client file reviews, and compliance related interviews of Financial Representatives and their staff

· Oversight and maintenance of books and records for the Offices of Supervisory Jurisdiction, Registered Branch Offices and other field locations as required by FINRA

· Oversee Investment Operations Department assisting with training, coaching, and elevated cases: Wire Transfers, Trade Corrections, etc

· Maintain a strong presence in the network office to influence multiple dimensions of culture through consultative work with other members of the Supervision team (CSO or ADoS, if applicable), as well as Financial Representatives and their field staff

· Develop, manage, and monitor supervisory plans to address non-standard behavior or to address sales practice concerns

· Execute proactive training as needed for Financial Representatives and staff on compliance, regulatory, or related topics

Knowledge, Skills, Abilities:

· Active and valid FINRA Series 7, 9/10 and 63 registrations are required

· Active and valid FINRA Series 7, 24, 4, 53, and 63 may be considered in lieu of S7, 9/10, and 63

· Active Life/Health licenses, or the ability to obtain within 3 months

· 5 years of industry experience with an emphasis in compliance/supervision

· Extensive working knowledge of standard industry and regulatory policies and procedures

· Ability to execute on high level business strategies and outcomes

· Strong ability to handle highly sensitive communications and deliver feedback and difficult messages

· Ability to delegate workload, develop support, and supervise a team (if needed)

· Highly detailed and data-oriented with solid critical thinking, organizational and analytical skills

· Profound decision-making skills; ability to use a mixture of analysis, experience, and judgment to assess risk, navigate ambiguity, and arrive at a conclusion or recommendation

· Ability to identify issues, trends, and potential sales practice issues with the purpose of escalating or addressing them

Job Type: Full-time

Pay: $95,000.00 - $120,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Health insurance
• Life insurance
• Paid time off
• Vision insurance

Schedule:

• 8 hour shift
• Day shift
• Monday to Friday

Education:

• Bachelor's (Preferred)

License/Certification:

• Series 7 (Preferred)
• Series 9/10 (Preferred)
• Series 63 (Preferred)

Ability to Relocate:

• Jacksonville, FL 32216: Relocate before starting work (Required)

Work Location: In person

Salary : $95,000 - $120,000