Compliance Supervision Manager; FINRA RSM

The Compliance Supervision Manager (FINRA RSM) is an integral leadership role within wealth management compliance, focusing on the oversight and review of brokerage, advisory, and directly held transactions. This position is designed for professionals with deep knowledge of FINRA and SEC regulations who are passionate about ensuring regulatory compliance and safeguarding client interests. As a Compliance Supervision Manager (FINRA RSM), you will act as a critical resource for financial professionals, supporting their adherence to industry standards and internal policies.

This full-time opportunity offers a collaborative environment where your expertise directly contributes to the firm’s mission of maintaining ethical practices and regulatory excellence.

Working as a Compliance Supervision Manager (FINRA RSM) provides the chance to be at the forefront of compliance initiatives, collaborating with cross-functional teams and engaging in the ongoing training and support of financial professionals. The organization is committed to fostering a supportive and inclusive culture, where you can make a tangible impact in the financial services sector. If you are seeking a challenging and rewarding role that leverages your regulatory knowledge and supervisory experience, this opportunity is designed for you.

• Direct oversight and supervision of brokerage, advisory, and direct transactions for regulatory compliance.
• Collaboration with Supervision and Compliance teams to enforce internal controls and elevate risk-based findings.
• Ongoing support for the onboarding and training of financial professionals and support staff.
• Critical role in maintaining high standards of best interest and suitability across all transactions.
• Primary home office contact for supervision-related inquiries and compliance support.

• Review and supervise brokerage, advisory, and directly held transactions to ensure suitability, policy adherence, and compliance with best-interest standards.
• Conduct comprehensive account reviews, manage transaction supervision, and oversee queue management for assigned financial professionals.
• Evaluate and approve outside business activities, handle account acceptance, and ensure completion of annual compliance requirements.
• Monitor and analyze supervisory reports, enforcing internal controls in alignment with FINRA and SEC regulations.
• Identify potential risks or compliance issues and break findings to the appropriate teams for corrective action.
• Act as the primary point of contact for supervision-related questions, providing timely and effective support to financial professionals.
• Support onboarding, education, and ongoing training initiatives for financial professionals and support staff.
• Collaborate with Supervision, Compliance and cross-functional departments on firm-wide initiatives and regulatory projects.

• Competitive total compensation package.
• Comprehensive medical, dental and vision insurance.
• 401(k) retirement plan with company match.
• Paid time off and volunteer days.
• Additional benefits designed to support employee well-being and professional growth.

• Minimum of 3 years of experience conducting suitability or best-interest transaction reviews within the financial services industry.
• Active FINRA Series 7, 24, and 63/65 or 66 licenses required.
• Strong working knowledge of FINRA and SEC regulations.
• Proven ability to manage multiple priorities in a fast-paced, deadline-driven environment.
• Excellent analytical, organizational and problem-solving skills.
• FINRA Series 4 and/or 53 is preferred, or a willingness to obtain these licenses.
• Bachelor’s degree preferred; equivalent experience will…