Assistant Director, Supervision
Core
Provide leadership and guidance to a team of registered principals responsible for centralized supervision, oversight, and monitoring of business conducted by securities registered representatives and investment adviser representatives.
Role type
Senior IC supervision director (financial services)
Builds
Supervisory framework, risk mitigation strategies, internal controls, and data-driven monitoring capabilities
Domain
Financial services (Broker-Dealer/RIA) + Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Team leadership and coaching, FINRA regulatory knowledge, risk assessment, data analysis, project management, knowledge of securities and investment adviser regulations
Preferred skills
AI tools application in supervision, data visualization (Tableau/Power BI), project management
Technologies
Tableau, Power BI, AI tools
Responsibilities
Lead and manage a team of registered principals; Establish performance expectations and coach employees; Oversee new-hire training and team calibration; Identify and assess supervisory risks; Partner with cross-functional teams to analyze supervision-related datasets; Serve as a key liaison in the development of dashboards and reporting metrics; Coordinate and provide oversight for compliance testing, audits, and regulatory inquiries
Seniority
Senior, hands-on IC with leadership