Assistant Director, Supervision — Remote & Compliance Leader

Jobgether; United States; Hybrid; USD 127,000 - 171,000; Full time

Benefits offered by this job

Annual base salary: $127,000–$171,000

Bonus program eligibility

Flexible Time Off for salaried staff

Pension eligibility

Flexible work options: in-office, hyb/

Job summary

Jobgether, on behalf of a partner company, seeks an Assistant Director, Supervision based in the United States. You will lead a team of registered principals overseeing securities and investment adviser activities in a regulated environment, focusing on governance, risk management, and process improvements.

The role requires at least 8 years in financial services, Series 7 and 24, with Series 65/66 preferred; travel up to 25%; flexible work options; strong leadership and data-driven reporting

Qualifications

• 8+ years of financial services experience in supervision, compliance, or risk management.
• Bachelor's degree preferred.
• Active FINRA Series 7 and Series 24 licenses are required.
• Series 65 or Series 66 is strongly preferred; must obtain within six months of hire.

Responsibilities

• Lead and manage a team of registered principals responsible for centralized supervision, monitoring, and oversight.
• Establish performance expectations, coach and develop team members, manage SLAs.
• Oversee onboarding, training, and calibration activities to promote consistent, risk-based supervision.
• Lead improvements to supervisory processes, systems, controls, and risk mitigation strategies.
• Collaborate with cross-functional teams to develop data-driven supervision strategies and reporting.
• Develop dashboards, reporting metrics, and risk-based models for senior leadership.

Skills

Leadership

Regulatory compliance

Risk management

Data-driven decision-making

Cross-functional collaboration

Communication skills

Mentoring/coaching

Education

Bachelor's degree

Tools

Tableau

Power BI

Job description

Jobgether, on behalf of a partner company, seeks an Assistant Director, Supervision based in the United States. You will lead a team of registered principals overseeing securities and investment adviser activities in a regulated environment, focusing on governance, risk management, and process improvements.

The role requires at least 8 years in financial services, Series 7 and 24, with Series 65/66 preferred; travel up to 25%; flexible work options; strong leadership and data-driven reporting