Associate Relationship Manager & Supervision

Social Capital Resources; Tampa (FL); On-site; USD 70,000 - 100,000; Full time

Job summary

Social Capital Resources seeks an Associate Supervision Principal to support Financial Professionals with regulatory compliance, transaction review, and day-to-day supervision. You will liaise with Senior Relationship Managers and internal teams to ensure adherence to FINRA, SEC, and DOL requirements.

The role requires 2+ years in a Broker-Dealer or RIA, with knowledge of Reg BI, AML, and investment products, plus strong communication and relationship-building skills.

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

Reg BI knowledge

FINRA/SEC knowledge

Communication skills

Supervision experience

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.