Associate Relationship Manager & Supervision

Social Capital Resources; Tampa (FL); On-site; USD 85,000 - 110,000; Full time

Job summary

Social Capital Resources in Tampa, FL seeks an Associate Supervision Principal to support Financial Professionals with regulatory compliance, transaction review, and day-to-day supervisory needs, collaborating with Senior Relationship Managers and internal teams.

The role involves reviewing transactions, advising on suitability and Reg BI, AML, and investment products, and driving supervisory best practices while coordinating with internal partners and leadership.

Qualifications

• 2+ years of experience in a Broker-Dealer or RIA, preferably in Compliance or Sales Supervision.
• Knowledge of FINRA, SEC, AML, suitability, and Reg BI requirements.
• Strong understanding of securities and investment products.
• Excellent communication, organization, and relationship-building skills.
• Confident working directly with Financial Professionals and senior leadership.

Responsibilities

• Review and approve investment transactions in accordance with FINRA, SEC, DOL, and Firm requirements.
• Serve as a liaison between Financial Professionals and the Home Office.
• Provide guidance on suitability, Reg BI, AML, and investment products.
• Identify and implement supervisory and compliance best practices.
• Partner with internal teams and vendor partners to resolve issues.

Skills

Compliance experience

Reg BI knowledge

Securities knowledge

Communication skills

Leadership interaction

Job description

Top Tier Broker-Dealer/ RIA is seeking an Associate Supervision Principal!

This role will support Financial Professionals with regulatory compliance, transaction review, and day-to-day supervisory needs while partnering with Senior Relationship Managers and internal teams.

Responsibilities

• Review and approve investment transactions in accordance with FINRA, SEC, DOL, and Firm requirements.
• Serve as a liaison between Financial Professionals and the Home Office.
• Provide guidance on suitability, Reg BI, AML, and investment products.
• Identify and implement supervisory and compliance best practices.
• Partner with internal teams and vendor partners to resolve issues.

Qualifications

• 2+ years of experience in a Broker-Dealer or RIA, preferably in Compliance or Sales Supervision.
• Knowledge of FINRA, SEC, AML, suitability, and Reg BI requirements.
• Strong understanding of securities and investment products.
• Excellent communication, organization, and relationship-building skills.
• Confident working directly with Financial Professionals and senior leadership.