Chief of Supervision & Operations
Confidential
Chief of Supervision & Operations
About the Company
Established independent broker-dealer offering investment products and services to financial professionals
Industry
Financial Services
Type
Privately Held
About the Role
The Company is seeking a Chief of Supervision & Operations to lead supervisory, compliance, and operational functions. The role includes reviewing and approving client transactions across a range of financial products, supervising registered representatives, and ensuring adherence to firm policies and applicable regulations. Responsibilities also include preparing regulatory reports, overseeing internal compliance audits, and coordinating responses to regulatory inquiries, examinations, and investigations. The successful candidate will work with senior leadership to strengthen supervisory practices, manage regulatory risk, and oversee relationships with clearing firms and custodians. Candidates should have at least five years of experience in broker-dealer compliance, supervision, or a related regulatory oversight role. An active FINRA Series 7, 24, and 53 license is required; Series 4 and Series 65 or 66 are preferred. Applicants should have strong knowledge of financial products and a thorough understanding of FINRA and SEC regulations, including Regulation Best Interest. Experience working with clearing firms and custodians is also required.
Functions
- Operations
Vacancy posted 3 days ago
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