Compliance Supervisor

South Florida dually registered broker-dealer/RIA is seeking a motivated and talented Compliance Supervisor. This on-site position will utilize compliance experience and overall knowledge of the industry to work with other department personnel in meeting the Company’s goals.

You will be primarily responsible for monitoring retail account activity and supervising advisors. You will be tasked with contacting staff to implement corrective actions and ensuring compliance with the firm’s policies and procedures as well as industry regulations. In addition, you will play an active role in various supervisory and surveillance related processes.

Duties and Responsibilities

• Perform ongoing trade and principal review and supervisory functions for retail and advisory accounts
• Provide support and guidance to financial representatives and their staff as it relates to supervision and compliance matters
• Assist in responding to regulatory requests from various regulatory bodies
• Work closely with other staff members, departments, home office staff and field personnel on various supervision and compliance related matters
• Other projects and duties as assigned

Qualifications

• Series 7, 24, 65 or 66 licenses required
• Minimum 3 years of Supervision experience within the securities industry
• Strong knowledge of securities brokerage and investment advisory business and the regulatory landscape within the securities industry
• Highly organized
• Excellent verbal and written communication skills
• Well-developed customer service and interpersonal skills
• Strong multi-tasking skills and the ability to work under pressure
• Desire/ability to work in a team environment

Skills

• Strong technology skill set, solid understanding of industry terminology, with an ability to learn firm and industry specific programs and software