Assistant Director, Supervision

📋 Description

• Lead and manage a team of registered principals responsible for centralized supervision
• Establish performance expectations, coach and develop team members, manage capacity and
• Oversee onboarding, training, and calibration activities to promote a consistent, risk-based
• Serve as a subject matter expert on business initiatives and lead improvements to supervisory
• Identify, assess, and address supervisory risks and potential compliance issues by implementing
• Collaborate with cross-functional teams to develop data-driven supervision strategies, improve

🎯 Requirements

• At least 8 years of financial services industry experience in broker-dealer or registered
• A bachelor's degree is highly preferred.
• At least 3 years of formal or informal leadership experience, including coaching, employee
• Active FINRA Series 7 and Series 24 licenses are required.
• FINRA Series 65 or Series 66 license is strongly preferred; candidates without it must obtain it
• Strong knowledge of publicly and privately traded securities, managed account platforms, the

🎁 Benefits

• Annual base salary: $127,000–$171,000, depending on geographic location, experience, education
• Eligibility to participate in a bonus program for non-sales positions.
• Flexible Time Off (FTO) for salaried employees, covering vacation, personal time, and short-term
• Pension eligibility.
• Flexible work arrangements, including in-office, hybrid, and remote options. Remote work is
• A comprehensive benefits offering designed to support physical, financial, and social well-being.