Talent.com
FINRA Licensed Supervision Director
FINRA Licensed Supervision DirectorVirtualVocations • Oakland, California, United States
FINRA Licensed Supervision Director

FINRA Licensed Supervision Director

VirtualVocations • Oakland, California, United States
[job_card.variable_hours_ago]
[job_preview.job_type]
  • [job_card.full_time]
[job_card.job_description]

A company is looking for a Director of Supervision responsible for overseeing the daily transactions and activities of registered representatives and investment advisor representatives.

Key Responsibilities

Supervise sales activities and review daily trade activity for registered representatives and investment advisor representatives

Document representative activity and issues, providing monthly reports to Field Leadership

Manage team performance, ensuring workload distribution and providing guidance and training as necessary

Required Qualifications

7+ years of supervisory experience with a Broker / Dealer or RIA

Proficiency with FIS or comparable surveillance platforms

Working knowledge of securities and insurance industry regulations

Bachelor's degree preferred

FINRA Series 7, 24, 66 required; Series 53 and 4 or ability to obtain within 6 months

[job_alerts.create_a_job]

Director • Oakland, California, United States

[internal_linking.similar_jobs]
SEC Reporting Manager

SEC Reporting Manager

Vaco by Highspring • Belvedere, California, United States
[job_card.permanent]
Let Vaco advocate for you and you’ll have an .Our recruiters will provide you with .As an SEC Reporting Manager, you will serve as a financial expert for our client. This will be a hands-on role rep...[show_more]
[last_updated.last_updated_variable_hours] • [promoted] • [new]
Director - Corporate Travel & Expense

Director - Corporate Travel & Expense

Freshworks • San Mateo, CA, US
[job_card.full_time]
Organizations everywhere struggle under the crushing costs and complexities of "solutions" that promise to simplify their lives. To create a better experience for their customers and emplo...[show_more]
[last_updated.last_updated_variable_days] • [promoted]
Director, Operations

Director, Operations

Eat.Learn.Play. • Oakland, CA, US
[job_card.full_time]
Chief Financial and Administrative Officer (CFAO) .Finance & Operations .Hybrid (remote / in-office as needed) .Priority application deadline is January 6 with interviews beginning...[show_more]
[last_updated.last_updated_variable_days] • [promoted]
Finance Manager

Finance Manager

Wise Auto Group • Vallejo, CA, US
[job_card.full_time]
Present and sell finance & insurance products, including extended warranties, service contracts, GAP, and protection packages. Ensure compliance with all federal, state, and local laws (includin...[show_more]
[last_updated.last_updated_30] • [promoted]
Remote Finance Director - AI Trainer ($50-$60 / hour)

Remote Finance Director - AI Trainer ($50-$60 / hour)

Data Annotation • Redwood City, California
[filters.remote]
[job_card.full_time] +1
We are looking for a finance professional to join our team to train AI models.You will measure the progress of these AI chatbots, evaluate their logic, and solve problems to improve the quality of ...[show_more]
[last_updated.last_updated_30] • [promoted]
Director, Strategic Finance

Director, Strategic Finance

Whatnot • San Francisco, CA, US
[job_card.full_time]
Join the Future of Commerce with Whatnot!.Whatnot is the largest live shopping platform in North America and Europe to buy, sell, and discover the things you love. We’re re-defining e-commerce...[show_more]
[last_updated.last_updated_variable_days] • [promoted]
Conservation Finance Director

Conservation Finance Director

Save the Redwoods • San Francisco, CA, US
[job_card.full_time] +1
Save the Redwoods League seeks a strategic, driven, and collaborative Conservation Finance Director to design and implement financing strategies for League landscape-scale conservation initiatives....[show_more]
[last_updated.last_updated_30] • [promoted]
Director, SEC Reporting and Technical Accounting

Director, SEC Reporting and Technical Accounting

Zūm • Redwood City, CA, US
[job_card.full_time]
Zum is a rapidly expanding Series E startup backed by industry leaders Sequoia Capital, SoftBank, Spark Capital, and GIC, with a bold mission to transform the stagnant school transportation industr...[show_more]
[last_updated.last_updated_30] • [promoted]
Assistant Director of Finance

Assistant Director of Finance

AMETHOD PUBLIC SCHOOLS • Richmond, CA, US
[job_card.temporary]
Amethod Public Schools (AMPS) is a mission and values-driven organization that provides a rigorous college preparatory education and character development program that will prepare students from un...[show_more]
[last_updated.last_updated_30] • [promoted]
Director of Operations (Temporary, Bilingual English / Spanish)

Director of Operations (Temporary, Bilingual English / Spanish)

Boys & Girls Clubs of the Peninsula • Menlo Park, CA, US
[job_card.full_time] +1
Director of Operations (Temporary, Bilingual English / Spanish).To empower the youth in our community with equitable access to social, academic, and career opportunities to thrive.All youth grow up t...[show_more]
[last_updated.last_updated_variable_days] • [promoted]
Director of Partnerships

Director of Partnerships

Filoli Center • Redwood City, CA, US
[job_card.full_time]
Director of Partnerships : Fuel the Future of Filoli!.Are you a strategic fundraising leader ready to build game-changing relationships that power a renowned historic estate and garden? Filoli is se...[show_more]
[last_updated.last_updated_30] • [promoted]
Director of Finance

Director of Finance

Sierra Pacific Synod Of Evangelical • Oakland, CA, US
[job_card.full_time]
The Sierra Pacific Synod of the Evangelical Lutheran Church in America (SPSELCA) is comprised of approximately 180 Evangelical Lutheran Church in America (ELCA) congregations and mission congregati...[show_more]
[last_updated.last_updated_30] • [promoted]
Corporate Finance Accounting Director

Corporate Finance Accounting Director

Mission Economic Development Agency. • San Francisco, CA, US
[job_card.full_time]
Title : Corporate Finance Accounting Director.Reports to : Chief Financial Officer.This is a hybrid position, and candidates must be able to work at least four days per week in our San Francisco offi...[show_more]
[last_updated.last_updated_30] • [promoted]
Director of Operations, Rugby (5173U), Intercollegiate Athletics - 81999

Director of Operations, Rugby (5173U), Intercollegiate Athletics - 81999

InsideHigherEd • Berkeley, California, United States
[job_card.full_time]
Director of Operations, Rugby (5173U), Intercollegiate Athletics - 81999.At the University of California, Berkeley, we are dedicated to fostering a community where everyone feels welcome and can th...[show_more]
[last_updated.last_updated_30] • [promoted]
Clinical Evidence Director

Clinical Evidence Director

MyOme • Menlo Park, CA, US
[job_card.full_time]
MyOme's mission is to provide clinically actionable genetic information to patients throughout their lives.We combine clinical-grade whole genome sequencing, advanced AI methods for genome inte...[show_more]
[last_updated.last_updated_variable_days] • [promoted]
Director of Strategic Finance

Director of Strategic Finance

The Voleon Group • Berkeley, CA, US
[job_card.full_time]
Voleon is a technology company that applies state-of-the-art AI and machine learning techniques to real-world problems in finance. For nearly two decades, we have led our industry and worked at the ...[show_more]
[last_updated.last_updated_30] • [promoted]
Resident Care Director

Resident Care Director

Marbella Redwood City • Redwood City, CA, US
[job_card.full_time]
Integral Senior Living, proudly part of the Discovery Senior Living family of operating companies, manages care and lifestyle-focused senior living communities. Our company, which was built on our &...[show_more]
[last_updated.last_updated_30] • [promoted]
Finance Director

Finance Director

City of Vallejo • Vallejo, CA, United States
[job_card.full_time]
Thank you for your interest in the position of.For information about this position, please review our brochure, which can be found. To be considered for this position, interested candidates must sub...[show_more]
[last_updated.last_updated_variable_days] • [promoted]