Supervision Manager
1 week ago
An independent broker-dealer based in Illinois, managing over $2 billion in client assets with 200+ registered representatives, is seeking a Supervision Manager.
The ideal candidate will have broad product knowledge (equities, mutual funds, fixed income, variable products, and alternatives), strong familiarity with clearing and custody platforms, and proven experience in compliance and supervisory functions. This role ensures adherence to regulatory standards (FINRA, SEC, Reg BI, and DOL) while maintaining effective oversight of the firm's registered representatives and operations.
Responsibilities:
Review and approve client transactions across equities, mutual funds, bonds, variable annuities, and alternative investments, ensuring compliance with firm policies and regulatory standards (FINRA, SEC, DOL).
Monitor activities of registered representatives, including supervision of communications, advertising, and client interactions, to ensure compliance with legal and ethical requirements.
Oversee and maintain the firm's risk and compliance programs, including preparation of reports and coordination of internal audits.
Serve as a primary liaison with clearing and custody partners (Pershing, RBC, Schwab) and manage related operational and supervisory issues.
Respond to regulatory inquiries, examinations, and investigations, demonstrating the firm's adherence to supervisory and compliance standards.
Requirements:
2+ years of experience in broker-dealer or RIA compliance/supervision roles.
Active FINRA licenses: Series 7, 24, and 53 required; Series 4 and 65/66 preferred.
In-depth knowledge of financial products: equities, mutual funds, bonds, variable annuities, variable universal life, alternative investments (REITs, BDCs, private placements), and municipal securities.
Strong working knowledge of FINRA, SEC, DOL, and Regulation Best Interest (Reg BI) requirements.
Experience managing relationships with clearing firms and custodians, preferably Pershing, RBC, and Schwab.
This role offers a base salary range of $100,000-$140,000, with final compensation determined by experience, credentials, and overall qualifications. Flexibility may be considered for exceptional candidates.
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