FINRA Licensed Supervision DirectorVirtualVocations • Oakland, California, United States
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
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