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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates strong leadership and project management capabilities in a supervisory and compliance environment, with expertise in Broker Dealer supervision and risk management. Proven ability to foster collaboration and drive process improvements while managing multiple priorities effectively.
Highest-signal resume keywords
Broker Dealer Supervision ExperienceSeries 7, 24, 66 CertificationsLeadership Experience Managing TeamsStrong Project Management SkillsRisk Management and Compliance Expertise
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Soft Skills
Attention to DetailExcellent Communication SkillsRelationship ManagementInfluencing SkillsAnalytical and Problem-Solving Capabilities
Certifications & Qualifications
Series 7Series 24Series 66
Industry Keywords
Supervisory ActivitiesOutside Business Activities (OBAs)Private Securities Transactions (PSTs)Registration and Licensing RequirementsPolicy Violation InvestigationsTrade ReviewsNew Business ReviewsContinuous Process ImprovementCollaborationRisk Identification
About the role
Key responsibilities & impact- Lead, coach, and develop a team of field-facing OSJ Supervisors responsible for a broad range of supervisory activities.
- Oversee team workloads, priorities, and performance to ensure high-quality and timely execution of supervisory responsibilities.
- Manage multiple concurrent projects and initiatives, balancing scheduled deliverables and emerging business needs.
- Serve as the primary lead for strategic supervision initiatives and process improvements.
- Partner with senior leadership to ensure the supervision organization effectively supports internal business partners and field offices.
- Build strong relationships across the organization to drive collaboration, consistency, and effective risk management.
- Lead and facilitate discussions with firm leaders regarding supervisory matters, escalations, and business initiatives.
- Provide leadership and oversight for a team responsible for a broad range of supervisory functions, including outside business activities (OBAs), private securities transactions (PSTs), correspondence review, registration and licensing requirements, complaint triage, new OSJ training, annual advisory client reviews, policy violation investigations and disciplinary actions, surveillance escalations, trade reviews, and new business reviews.
Requirements
What you’ll need- Bachelor’s degree or equivalent work experience
- 5-10 years Industry experience
- Previous leadership experience
- Broker Dealer supervision experience.
- Series 7, 24, 66 (52/53 & 4 preferred)
- Attention to detail.
- Ability to create and teach new and existing processes.
- Ability to foster a collaborative work environment.
- Demonstrated leadership experience managing teams in a supervisory, compliance, risk management, or regulatory environment.
- Strong project management skills with the ability to prioritize multiple competing demands.
- Excellent communication, relationship management, and influencing skills.
- Proven ability to collaborate effectively at all levels of an organization, including senior leadership.
- Strong analytical and problem-solving capabilities with a focus on risk identification and resolution.
- Ability to lead through change and drive continuous process improvement.
Benefits
Comp & perks- Inclusive health, dental, vision, and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
- Easy access to mental health benefits to meet our team members and their families where they are.
- 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
- 401(k) savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
- Paid parental leave to support all team members with birth, adoption, and fostering.
- Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
- Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
- Paid caregiver leave to provide time away from work when caring for an ill or recovering family member.
- Additional benefits such as an Employee Assistance Program (EAP), identity theft protection (LifeLock), pet insurance, and other voluntary benefits to provide extra peace of mind