Associate Regional Director – Supervision Principal

Role Overview

• Serve as an Office of Supervisory Jurisdiction (OSJ) designee by reviewing and approving correspondence, securities activities, licensing items, Outside Business Activity reports, daily trade blotters, and other supervisory reports for assigned regions.
• Supervise and collaborate with direct reports, including oversight of securities activities, Special Supervisory Plans, licensing requirements, sales activity, policy communication, and follow-up related to firm procedures.
• Support the recruiting and financial professional approval process by reviewing complex business model structures, U4 matters, special exceptions, and other items requiring supervisory judgment.
• Support the supervisory visit process by gathering relevant information, documenting follow-up items, and helping ensure visit-related standards are met.
• Respond to requests for assistance from existing financial professionals, new financial professionals, recruits, staff, sponsor partners, and other stakeholders by troubleshooting issues and identifying practical solutions.
• Process exception reporting, document trends, and elevate insights for review by Advocacy and Supervision leadership.
• Maintain working knowledge of key industry topics, internal programs, departmental procedures, and relevant firm resources.
• Support and collaborate with direct reports to review supervisory activities and practice efficiency for those under their supervision.
• Participate in special projects, committees, working groups, and firmwide initiatives that advance strategic goals and process improvements.

Requirements

• Minimum of 4 years of experience in FINRA compliance, securities supervision, or a related broker-dealer supervisory function.
• Active FINRA Series 7 and Series 24 registrations required.
• Series 51, Series 53, and/or Series 4 registrations preferred.
• Strong understanding of supervisory review, regulatory documentation, licensing requirements, correspondence review, exception reporting, and escalation practices.
• Proficiency with Microsoft Office and Adobe Acrobat required; experience with Tableau or similar reporting tools preferred.
• Demonstrated ability to adopt technology, use data and reporting tools effectively, and incorporate AI or automation responsibly to improve daily work activities.

Tech Stack

• Tableau

Benefits

• Premium benefit package including medical, vision, dental, life and long-term disability insurance
• Vacation/sick time
• 401K retirement plan with company matching program
• Eleven paid holidays