Regulatory SupervisionThe Regulatory Supervision role leads the Broker Dealer (BD) organization across related supervisory, risk management, operational and oversight functions. This job drives organizational accountability, culture change and operational excellence for all oversight activities. This job has national impact for all operations and associates operating within the the organization's Broker Dealer department, extending well beyond own team and Individual Advisory Services.
Key Responsibilities and Duties- Partners with key in-source support groups to manage the BD footprint across the enterprise to ensure operational excellence.
- Acts as the conduit for transparency to represent the BD with these groups and simultaneously provide the line of sight BD implications.
- Provides an early warning system of regulatory, supervisory, compliance and risk management developments that affect the BD, risk ranking and where decisions may be needed.
- Collaborates and maintains a comprehensive strategic BD supervisory oversight and risk management structure including oversight of external vendors to ensure controls are in place and appropriate testing of those controls.
- Leads large transformational projects and programs impacting a broad spectrum of functional specialties such as financial management, policy development, organizational development, quality management and/or performance metrics, resource and talent management.
- Drives efficiencies and quality of BD operations and the control functions through optimizing the planning and execution of oversight processes with a major emphasis on FINRA and SEC regulatory requirements and overall operational quality.
- Leads the development and monitoring of performance metrics that assess program effectiveness, efficiencies, and the implementation of improvement initiatives.
- Manages performance of direct reports through regular, timely feedback as well as the formal performance review process to ensure delivery of Broker Dealer objectives and engagement, motivation and development of the team.
Educational Requirements- University (Degree) Preferred
Work ExperienceFINRA Registrations- SRC Indicator: Series 7; Series 24
Physical Requirements- Physical Requirements: Sedentary Work
Career Level11PL
Related Skills
Business Acumen, Business Process Improvement, Business Process Understanding, Communication, Compliance, Continuous Improvement Mindset, Detail-Oriented, General Risk Management, Influence, Relationship Management, Risk Mitigation, Risk Monitoring
Anticipated Posting End Date:2026-08-24
Base Pay Range: $179,000/yr - $264,000/yr
Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans).
Benefits and Total Rewards
The organization is committed to making financial well-being possible for its clients, and is equally committed to the well-being of our associates. That's why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health, wellness and work life offerings that can help you achieve and maintain your best possible physical, emotional and financial well-being. To learn more about your benefits, please review our Benefits Summary.
