Compliance Supervisor – Broker Dealer; PA, Pittsburgh

Compliance Supervisor – Broker Dealer (PA, Pittsburgh)

Article by:
New Edge Capital Group

January 13, 2026

Job Summary:

Growing, dynamic, entrepreneurial broker dealer seeking an experienced, self-motivated, outgoing Compliance Supervisor who enjoys working in a team environment while executing responsibilities independently. In particular, we are looking for someone who will report directly to the Managing Director of Supervision and play a daily role in the firm’s supervision of registered representatives. This person must be capable of providing a balance of exceptional service, flexibility and pragmatic judgment while functioning at a high level in real time to keep up with our teams.

Duties/Responsibilities:

• As a Firm Principal performs primary supervision and activity surveillance for assigned branch offices.
• Performs required supervisory functions such as advertising review, daily transaction monitoring, suitability review, utilizing the firm’s compliance vendors (such as Orion Compliance, FIS Protegent and Global Relay).
• Partners and collaborates with various departments to address needs and requests of clients and advisors.
• Escalation source for teams to help analyze situations and provide solutions while mitigating risk.
• Serves as primary regulatory contact for assigned branches and registered reps. Investigates, assists and remediates potential violations of compliance program elements.
• Assists in preparing responses to regulatory inquiries from the SEC, FINRA, and state regulators.
• Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to broker-dealers.
• Conducts employee training with respect to the compliance program.
• Special projects as needed.

Required Skills/Abilities:

• Bachelor’s degree in related field preferred.
• FINRA Series 7 & 24 Licenses
• 2+ years Broker/Dealer Supervisory experience.
• Custodian experience with National Financial Services/Fidelity a plus.
• Excellent verbal and written communication skills.
• Excellent interpersonal and customer service skills.
• Proficient in Microsoft Office Suite or related software.
• Excellent organizational skills and attention to detail.
• Strong understanding of the Broker Dealer supervision as well as a thorough knowledge of relevant SEC, FINRA, SEC and State securities laws.
• Ability to analyze situations for compliance and business risk and implement solutions to address and mitigate such risk.
• Ability to work independently and multi-task.
• Ability to communicate with highest level of management internally and externally.