Manager, Supervision

• Lead, coach, and develop a team of field-facing OSJ Supervisors responsible for a broad range of supervisory activities.
• Oversee team workloads, priorities, and performance to ensure high-quality and timely execution of supervisory responsibilities.
• Manage multiple concurrent projects and initiatives, balancing scheduled deliverables and emerging business needs.
• Serve as the primary lead for strategic supervision initiatives and process improvements.
• Partner with senior leadership to ensure the supervision organization effectively supports internal business partners and field offices.
• Build strong relationships across the organization to drive collaboration, consistency, and effective risk management.
• Lead and facilitate discussions with firm leaders regarding supervisory matters, escalations, and business initiatives.
• Provide leadership and oversight for a team responsible for a broad range of supervisory functions, including outside business activities (OBAs), private securities transactions (PSTs), correspondence review, registration and licensing requirements, complaint triage, new OSJ training, annual advisory client reviews, policy violation investigations and disciplinary actions, surveillance escalations, trade reviews, and new business reviews.

• Bachelor’s degree or equivalent work experience
• 5-10 years Industry experience
• Previous leadership experience
• Broker Dealer supervision experience.
• Series 7, 24, 66 (52/53 & 4 preferred)
• Attention to detail.
• Ability to create and teach new and existing processes.
• Ability to foster a collaborative work environment.
• Demonstrated leadership experience managing teams in a supervisory, compliance, risk management, or regulatory environment.
• Strong project management skills with the ability to prioritize multiple competing demands.
• Excellent communication, relationship management, and influencing skills.
• Proven ability to collaborate effectively at all levels of an organization, including senior leadership.
• Strong analytical and problem-solving capabilities with a focus on risk identification and resolution.
• Ability to lead through change and drive continuous process improvement.

Demonstrates strong leadership and project management capabilities in a supervisory and compliance environment, with expertise in Broker Dealer supervision and risk management. Proven ability to foster collaboration and drive process improvements while managing multiple priorities effectively.

• Broker Dealer Supervision Experience
• Series 7, 24, 66 Certifications
• Leadership Experience Managing Teams
• Strong Project Management Skills
• Risk Management and Compliance Expertise

• Attention to Detail
• Excellent Communication Skills
• Relationship Management
• Influencing Skills
• Analytical and Problem-Solving Capabilities

• Series 7
• Series 24
• Series 66

• Supervisory Activities
• Outside Business Activities (OBAs)
• Private Securities Transactions (PSTs)
• Registration and Licensing Requirements
• Policy Violation Investigations
• Trade Reviews
• New Business Reviews
• Continuous Process Improvement
• Collaboration
• Risk Identification