Lead the design and implementation of strategic supervision initiatives, including the development of supervisory models, escalation frameworks, and role-based oversight structures.
Serve as a subject matter expert and program lead for supervision modernization efforts, including risk-based monitoring, digital enablement, and control optimization.
Develop and maintain supervisory program documentation, including frameworks, operating models, and execution playbooks.
Coordinate cross-functional working groups to align supervision practices with regulatory expectations, internal policies, and business objectives.
Support the uplift and integration of supervisory controls into business processes, technology platforms, and governance routines.
Monitor industry trends, regulatory developments, and internal risk indicators to inform program enhancements and strategic planning.
Contribute to regulatory exams, internal audits, and supervisory certifications by preparing program documentation and evidence of execution.
Provide thought leadership and strategic support to the Head of Supervision on program design, change management, and long-term supervision strategy.

Bachelor’s degree required; advanced degree (JD, MBA, or related field) preferred
Minimum 10 years of experience in financial services, with at least 5 years in supervision, compliance, or risk management roles
Demonstrated expertise in supervision program design, control implementation, and strategic execution
Strong project management and change leadership skills; ability to drive cross-functional initiatives from concept to execution
Deep understanding of broker-dealer regulatory frameworks, including FINRA, SEC, and state regulations
Excellent communication, documentation, and stakeholder engagement skills; active FINRA Series 7 and 24 required; Series 9/10 preferred

Director, Supervision Program – Senior Strategist

Key skills