Compliance Supervisor, BD & RIA – Training & Oversight

San Blas Securities; Chicago (IL); On-site; USD 80,000 - 100,000; Full time

Job summary

San Blas Securities, a full-service investment bank, is looking for a Compliance Supervisor to support regulatory and compliance efforts. This full-time position is based in Chicago and involves managing compliance training programs and document supervisory activities.

The ideal candidate should have a Bachelor's degree, relevant FINRA licenses, and 3-5 years of experience in regulatory environments, fostering a culture of compliance.

Competitive compensation and bonus structure based on experience, ranging from $80K to $100K.

Qualifications

• Bachelor’s degree or experience equivalent.
• FINRA Series 7 and FINRA Series 24 required.
• 3-5 years relevant experience at RIA and BD or industry regulator.

Responsibilities

• Review and enforce the firm’s Written Supervisory Procedures.
• Manage firm’s onboarding training program for compliance.
• Document supervisory activities.
• Review advisors' communications to clients.
• Assist in conducting Branch Exams.

Skills

Detail-oriented

Organizational skills

Knowledge of regulatory compliance

Education

Bachelor’s degree or equivalent experience

Tools

RBC back-office

Schwab back-office

Job description

San Blas Securities, a full-service investment bank, is looking for a Compliance Supervisor to support regulatory and compliance efforts. This full-time position is based in Chicago and involves managing compliance training programs and document supervisory activities.

The ideal candidate should have a Bachelor's degree, relevant FINRA licenses, and 3-5 years of experience in regulatory environments, fostering a culture of compliance.

Competitive compensation and bonus structure based on experience, ranging from $80K to $100K.