Senior Broker-Dealer Compliance & Supervisory Lead
SFA Partners
A financial services firm in Atlanta seeks an experienced compliance and supervision professional to report to the Chief Supervisory Officer. The role includes supervising OSJ managers, reviewing trade activity, and ensuring compliance with regulations. Candidates should have over 5 years in broker-dealer supervision, knowledge of investment products, and hold Series 7 and 24 certifications. Strong communication and analytical skills are essential for this fast-paced environment. Opportunities for travel may be involved. #J-18808-Ljbffr SFA Partners
Vacancy posted 1 day ago
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