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Remote Senior MD, Broker-Dealer Supervision
Remote / Online - Candidates ideally in
Stamford, Fairfield County, Connecticut, 06925, USA
Listed on 2026-08-20
Stamford, Fairfield County, Connecticut, 06925, USA
Listing for:
NewEdge Advisors
Full Time, Remote/Work from Home
position Listed on 2026-08-20
Job specializations:
-
Management
Regulatory Compliance Specialist
Job Description & How to Apply Below
New Edge Securities seeks a seasoned Managing Director of Broker-Dealer Supervision to design, implement, and lead the firm's supervisory framework across all registered representative activity. The role reports to the C-suite and partners with Compliance and Operations to ensure FINRA 3110 obligations are met.
The ideal candidate will manage day-to-day supervision, onboard reps, review U4/U5 filings, and continuously improve supervisory controls embedded in business processes across the firm,
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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