Lead the broker-dealer supervisory program and ensure compliance with applicable laws, regulations, and firm policies.
Supervise, coach, and develop Regional Supervisory Principals, providing leadership and performance management.
Establish strategic objectives for the supervision function aligned with enterprise compliance goals.
Oversee supervisory activities, including new account approvals, trade reviews, variable annuity and insurance product reviews, branch surveillance, and heightened supervision programs.
Maintain and enhance Written Supervisory Procedures (WSPs) and supervisory controls.
Identify emerging supervisory risks and implement monitoring programs and surveillance enhancements.
Lead regulatory examination preparation and coordinate responses to regulators and internal audit findings.
Prepare and present monthly and quarterly supervision reports to executive leadership.
Develop and deliver supervisory training for registered representatives, principals, and field leaders.
Foster a culture of compliance through effective communication, leadership, and continuous improvement.

Bachelor's degree in Business, Finance, or a related field or equivalent experience.
10+ years of broker-dealer compliance and supervisory experience, including at least 5 years in a leadership role.
Strong knowledge of FINRA, SEC, and state securities regulations.
Experience supervising variable annuities, mutual funds, alternative investments, and retirement products.
FINRA SIE, Series 7, 24, 51, and 63/65 or 66 licenses required.
Proven leadership, communication, relationship management, and regulatory interaction skills.

Director, Supervision – Broker Dealer

Key skills