Sign up to access all features of our service.
  • Job search
  • Favorites
  • Create a CV
    New
  • Salaries
  • Subscriptions

Broker-Dealer Sales Supervisor & Compliance Lead

Insigneo

Insigneo is seeking a Sales Supervisor to provide day-to-day supervision and guidance to Advisors/Brokers. The role includes ensuring compliance with sales processes and supporting the sales team in achieving their goals. The ideal candidate should have a Bachelor’s degree in business administration, a minimum of three years of experience in compliance or sales supervision, and be bilingual in English and Spanish. Required licenses include Series 7 and Series 24. #J-18808-Ljbffr Insigneo

Vacancy posted 2 days ago
Similar jobs that could be interesting for youBased on the Broker-Dealer Sales Supervisor & Compliance Lead in Miami, FL vacancy
  • $90k - $135k

     ...-money laundering/sanctions/financial crime compliance and regulatory obligations applicable to the...  ...supporting the Chief AML Officer covering the Broker-Dealer (BD) Securities Division. In this role, the AML Advisory Team Lead will be responsible for handing day-to-day... 
    Suggested

    StoneX Group Inc.

    Miami, FL
    14 hours ago
  •  ...Gerente de Conformidade Regulatória para liderar as atividades de governança, controles e submissões regulatórias relacionadas a broker-dealer e MSB. O profissional atuará com stakeholders multifuncionais para fortalecer a cultura de risco e conformidade. O candidato... 
    Suggested

    Avenue

    Miami, FL
    2 days ago
  •  ...administration, and multi-custodian workflows. This hands-on leadership role requires broker-dealer operations experience, regulatory knowledge, and strong team management capabilities to drive accuracy, compliance, and efficient service delivery. #J-18808-Ljbffr Ascendo Resources
    Suggested

    Ascendo Resources

    Miami, FL
    1 day ago
  •  ...The Sales Supervisor has the overall responsibility for providing day to day supervision and guidance...  ...to the assigned Advisors and/or Brokers. Provides guidance and support to the sales...  ...resources on matters related to compliance, ensuring policies and procedures are followed... 
    Suggested
    Full time
    Temporary work
    Work at office

    Insigneo

    Miami, FL
    3 days ago
  • $90k - $110k

     ...Companies! A very well known, highly respected, prestigious, Broker Dealer HQ'd in Miami, Coconut Grove is seeking a 2+ year Staff...  ...Collaboration: Work closely with trading desks, operations, and compliance officers to track commissions, trade data, and internal... 
    Suggested
    Full time
    Immediate start

    Ascendo Resources

    Miami, FL
    4 days ago
  •  ...financial services firm in Miami is looking for Senior Accountant. The ideal candidate will have 3-6 years’ experience, preferably in a broker dealer setting. A good attitude, people skills, good organizational skills and an open, inquisitive mind are essential for this... 
    Full time

    Confidential Hiring

    Coral Gables, FL
    2 days ago
  •  ...detail-oriented Operations Manager to oversee the day-to-day operations of our broker-dealer business. This individual will play a key role in ensuring operational efficiency, regulatory compliance, and exceptional service to financial advisors, clients, and business... 
    Full time
    Work at office

    Leeds Professional Resources

    Miami, FL
    2 days ago
  •  ...registered representatives and brokerage activities to ensure compliance with applicable securities laws, FINRA rules, SEC regulations...  ...\n \n The ideal candidate will have strong knowledge of broker-dealer operations, excellent attention to detail, sound judgment, and... 
    Work at office

    Leeds Professional Resources

    Miami, FL
    25 days ago
  • StoneX Group is seeking an Email Surveillance Specialist to monitor broker-dealer communications, including email and social media, ensuring regulatory compliance and firm policy adherence. The role supports institutional operations and involves collaboration with the... 

    StoneX Group

    Miami, FL
    1 day ago
  •  ...leader in risk and financial advisory, seeks a collaborative compliance professional in the United States to advise a diverse portfolio of RIAs, broker-dealers, and registered investment companies. You will lead engagements, translate complex requirements into practical... 

    Kroll

    Miami, FL
    2 days ago
  •  ...a Senior Director / Executive Director of Operations to lead the U.S. Broker-Dealer Operations function. You will oversee daily operations across...  ..., and strong collaboration with Wealth Management, Retail, Compliance, Finance, and Technology. #J-18808-Ljbffr BTG Pactual

    BTG Pactual

    Miami, FL
    3 days ago
  •  ...Head of Broker Dealer Operations About the Company Wealth management firm and broker-dealer in Brickell Industry Financial Services Type Privately Held About the Role The Company is seeking a Head of Broker Dealer Operations to provide strategic... 

    Confidential

    Miami, FL
    3 days ago
  •  ...preserve and grow client wealth through tailored strategies. As a Broker /Dealer member of FINRA and SIPC, Galicia Capital US, LLC operates...  ...is available on its corporate website. Role Description The Compliance Officer is a full-time, on-site role based in Miami, FL,... 
    Full time
    Temporary work

    Galicia Capital

    Miami, FL
    2 days ago
  •  ...hands-on leadership role requiring strong broker-dealer operations experience, regulatory...  ...management capabilities. Key Responsibilities: Lead daily operations, including account...  ...platforms, ensuring accuracy and regulatory compliance. Manage, train, and supervise operations... 

    Ascendo Resources

    Miami, FL
    1 day ago
  • $180k - $250k

    Lead broker-dealer operations and infrastructure Drive controls, automation, and operational excellence About Our Client Wealth management...  ...practices and operational documentation to ensure compliance standards are met. Identify operational vulnerabilities and... 

    Page Executive

    Miami, FL
    2 days ago
  • Galicia Capital US, LLC, a FINRA/SIPC member, seeks a Compliance Officer in Miami to oversee regulatory adherence and internal policies...  ...role requires strong analytical and communication skills and broker-dealer experience. Responsibilities include reviews of client... 

    Galicia Capital

    Miami, FL
    2 days ago
  •  ...Executive in Miami seeks an experienced Operational Leader to head broker-dealer operations, drive controls and automation, and support growth...  ...policies, overseeing vendors, and ensuring regulatory compliance in a fast-paced, FINRA-regulated environment. Bilingual English... 

    Page Executive

    Miami, FL
    2 days ago
  • A leading financial services firm is seeking a Senior Home Lending Advisor in Miami, Florida. This position requires excellent knowledge...  ...customer support. Would-be employees must meet Dodd Frank compliance and NMLS registration requirements. Competitive compensation,... 

    JPMorganChase

    Miami, FL
    4 days ago
  • Boardwalk Realty is seeking experienced, licensed real estate agents in the Miami market to grow production through an established lead and referral model. An active Florida real estate license is required to be considered, and agents will access multiple lead sources... 

    Boardwalk Realty - Miami, FL

    Miami, FL
    3 days ago
  •  ...turning connections into long-term partnerships. The ideal candidate will be proactive, enjoy meeting people, and be comfortable in hybrid/field environments, attending events, broker visits, and coordinating partnership campaigns to support our #J-18808-Ljbffr LendingHouse

    LendingHouse

    Miami, FL
    2 days ago
  • Continental Services Group is seeking a hands-on Donor Services Supervisor to run the day-to-day operation of our Miami donor center. You will be on the floor daily, opening the center, leading the team, and closing it down accurately. Responsibilities include supervising... 

    Continental-Services-Group

    Miami, FL
    1 day ago
  • VC Stack is seeking a Senior Investor Relations Associate to lead investor engagement and onboarding efforts. This high-impact role involves direct interaction with high-net-worth individuals and institutional partners, ensuring a positive investor experience. The ideal... 

    Cardone Capital

    Miami, FL
    2 days ago
  • EZPAWN Florida, Inc. in Miami is hiring for a Retail Shift Manager (Lead Pawnbroker). The role focuses on providing outstanding customer service, leading a team, and driving sales across pawn items. Competitive pay and a structured career path are offered, with a 5‑week... 
    Shift work

    EZPAWN Florida, Inc.

    Miami, FL
    14 hours ago
  • Quadel is seeking an experienced Inspection Manager to lead the inspection department and ensure all assisted rental units meet HUD HQS/NSPIRE standards and HCV requirements. The role oversees staff, implements regulatory updates, and maintains accurate inspection records... 

    Quadel Consulting Corporation

    Miami, FL
    2 days ago
  •  ...in United States (Florida) seeks a Manager of Credentialing to lead the credentialing program across markets, liaising with payers,...  ..., and data integrity, with a focus on improving efficiency and compliance in CAQH Pro-View, PECOS, and I&A workflows. Strong leadership and... 

    ChenMed

    Miami, FL
    2 days ago
  •  ...Dealer Account ManagerWestlake Financial is the largest privately held auto finance company...  ...and diversify our business model. This leads to cementing us as a leader in the automotive...  ...and franchise dealersIdentify sales prospects and contact these and other accounts... 
    Full time
    Work at office
    Local area

    Westlake Services

    Miami, FL
    4 days ago
  •  ...documentation required based on each account type Process and update information on existing international accounts to ensure compliance, including data points such as address, phone number, or authorized individuals Collaborate with other areas such as AML, Tax... 

    Leeds Professional Resources

    Miami, FL
    2 days ago
  • Edmunds is seeking a driven B2B sales professional to expand dealer partnerships and optimize the Edmunds Program across assigned territories. The role emphasizes relationship-building, data-driven insights, and field presence to drive results. You will travel to dealer... 
    Base plus commission
    Contract work

    Edmunds

    Miami, FL
    3 days ago
  • Landing Point is seeking a Director/Senior Director of Tax to lead tax planning and compliance for ultra-high-net-worth clients. You will collaborate with wealth advisors and estate planning teams to deliver proactive tax strategies and oversee complex returns. The role... 

    Landing Point

    Miami, FL
    3 days ago
  • Bacardi is seeking a Senior Tax professional to lead statutory tax compliance and accounting for NAM entities from its Miami hub. You will partner with Finance, Shared Services and cross-functional teams to improve automation, accuracy and timeliness of tax filings and... 

    Bacardi

    Miami, FL
    2 days ago

Do you want to receive more vacancies?

Subscribe and receive similar vacancies to Broker-Dealer Sales Supervisor & Compliance Lead. Be the first to apply!