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FINRA Licensed Supervision Director
FINRA Licensed Supervision DirectorVirtualVocations • Lowell, Massachusetts, United States
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FINRA Licensed Supervision Director

FINRA Licensed Supervision Director

VirtualVocations • Lowell, Massachusetts, United States
[job_card.variable_days_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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Director • Lowell, Massachusetts, United States

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