Compliance Supervisor

Confidental; Boca Raton (FL); On-site; USD 90,000 - 120,000; Full time

Job summary

Confidental, a South Florida dually registered broker-dealer/RIA, seeks a Compliance Supervisor to lead monitoring of retail activity and supervise advisors on-site in Boca Raton. You will implement corrective actions, ensure adherence to firm policies and industry regulations, and participate in supervision and surveillance processes to support regulatory compliance.

Responsibilities include trade and principal review for retail and advisory accounts, guiding staff on supervision matters,

Qualifications

• Series 7, 24, 65 or 66 licenses required.
• Minimum 3 years of supervision experience within the securities industry.
• Strong knowledge of securities brokerage and investment advisory business and the regulatory landscape.
• Highly organized with excellent verbal and written communication.
• Well-developed customer service and interpersonal skills.
• Strong multi-tasking skills and ability to work under pressure.
• Desire/ability to work in a team environment.

Responsibilities

• Perform ongoing trade and principal review and supervisory functions for retail and advisory accounts.
• Provide support and guidance to financial representatives and staff as it relates to supervision and compliance matters.
• Assist in responding to regulatory requests from various regulatory bodies.
• Work closely with other staff members, departments, home office staff and field personnel on supervision and compliance matters.
• Other projects and duties as assigned.

Skills

Communication skills

Teamwork

Attention to detail

Regulatory knowledge

Job description

South Florida dually registered broker-dealer/RIA is seeking a motivated and talented Compliance Supervisor. This on-site position will utilize compliance experience and overall knowledge of the industry to work with other department personnel in meeting the Company’s goals.

You will be primarily responsible for monitoring retail account activity and supervising advisors. You will be tasked with contacting staff to implement corrective actions and ensuring compliance with the firm’s policies and procedures as well as industry regulations. In addition, you will play an active role in various supervisory and surveillance related processes.

Duties and Responsibilities

• Perform ongoing trade and principal review and supervisory functions for retail and advisory accounts
• Provide support and guidance to financial representatives and their staff as it relates to supervision and compliance matters
• Assist in responding to regulatory requests from various regulatory bodies
• Work closely with other staff members, departments, home office staff and field personnel on various supervision and compliance related matters
• Other projects and duties as assigned

Qualifications

• Series 7, 24, 65 or 66 licenses required
• Minimum 3 years of Supervision experience within the securities industry
• Strong knowledge of securities brokerage and investment advisory business and the regulatory landscape within the securities industry
• Highly organized
• Excellent verbal and written communication skills
• Well-developed customer service and interpersonal skills
• Strong multi-tasking skills and the ability to work under pressure
• Desire/ability to work in a team environment

Skills

• Strong technology skill set, solid understanding of industry terminology, with an ability to learn firm and industry specific programs and software