Branch Manager – Trading & Compliance Oversight

Branch Manager – Compliance & Trading Oversight

(Registered Principal | Capital Markets Supervision)

We are currently partnering with a well-established financial services firm seeking an experienced Branch Manager with strong Compliance and Trading oversight expertise to work closely with the Chief Compliance Officer in ensuring full regulatory alignment and supervisory control across the business.

This is a high-visibility role combining regulatory leadership, trading supervision, and operational oversight within a registered environment.

Working in conjunction with the CCO, you will play a key role in fulfilling all regulatory and compliance requirements while overseeing trading and registered representative activity.

• Overseeing adherence to firm policies and procedures (daily, weekly, monthly supervisory reviews)
• Monitoring activity of all registered representatives (RRs)
• Reviewing and approving new accounts and ongoing suitability assessments
• Reviewing daily, weekly, and monthly exception reports and implementing corrective actions
• Assisting in handling customer complaints and regulatory inquiries
• Reviewing and approving RR correspondence, including electronic communications
• Supporting regulatory reporting and filings
• Reviewing and approving trading activity conducted by RRs
• Trade input and hands‑on trading oversight

• Minimum 5+ years of relevant experience in a registered broker‑dealer environment
• Active Series 7, Series 63, and Series 24
• Series 4 and/or Series 53 preferred
• Strong understanding of supervisory structures and regulatory frameworks
• Practical trading experience with the ability to oversee and approve activity
• Detail‑oriented with the ability to balance risk management and business needs