Regional Supervision Director
Core
Ensures business processing aligns with firm policies and procedures through delegated supervisory duties.
Role type
Regional Supervision Director (Registered Principal)
Builds
Compliance oversight for Financial Professionals and OSJ Branch Managers
Domain
Financial Services / Securities Broker-Dealer
Deliverable
client delivery
Required skills
FINRA Series 7, 24, 66 (or 63/65), knowledge of FINRA/SEC rules (3110, 40 ACT, Reg BI, DOL PTE), securities products expertise, internal controls enforcement, corrective action planning, compliance training, surveillance reviews, Outside Business Activities review, Heightened Supervision planning
Preferred skills
FINRA Series 4 & 53, Resident State Life/Health/Variable Annuity licenses
Technologies
Microsoft Office tools
Responsibilities
Provide supervisory assistance to SRVP, conduct Supervisory Office Visits, monitor and enforce internal controls, identify concerning practices and take corrective action, develop branch managers on compliance and technology, implement supervision policies, review Outside Business Activities and Annual Compliance Requirements, track delegated projects, resolve branch office deficiencies
Seniority
Mid-level individual contributor with supervisory delegation