Director, Broker-Dealer Supervision (Remote)

NewEdge Capital Group; Fort Lauderdale (FL); Remote; USD 180.000 - 260.000; Vollzeit

Zusammenfassung

NewEdge Capital Group's NewEdge Securities is seeking a seasoned supervisory executive to serve as Managing Director of Broker-Dealer Supervision. You will design and manage the firm's supervisory framework across registered representatives and branch activity, ensuring FINRA Rule 3110 compliance and embedded controls.

The role reports to senior leadership and offers remote-friendly options, with preference for candidates located in Pittsburgh, Stamford, or Fort Lauderdale.

Qualifikationen

• 10+ years of broker-dealer supervision in a FINRA-regulated environment.
• Active Series 24 required; Series 9/10 a plus for options/equities.
• Deep knowledge of FINRA Rule 3110 and related obligations.

Aufgaben

• Design and manage the firm's supervisory framework across registered reps and branch activity.
• Oversee daily supervision of activities across multiple product lines.
• Lead escalation and liaison with the CCO on regulatory matters.
• Supervise and develop the supervision team and standards.
• Maintain and update supervisory logs and exception reporting.

Kenntnisse

Broker-dealer supervision

Regulatory compliance leadership

FINRA rules knowledge

People management

Written communication

Cross-functional collaboration

Problem solving

Ausbildung

FINRA Series 24

Tools

Protegent

Smarsh

TRACE reporting tools

Jobbeschreibung

NewEdge Capital Group's NewEdge Securities is seeking a seasoned supervisory executive to serve as Managing Director of Broker-Dealer Supervision. You will design and manage the firm's supervisory framework across registered representatives and branch activity, ensuring FINRA Rule 3110 compliance and embedded controls.

The role reports to senior leadership and offers remote-friendly options, with preference for candidates located in Pittsburgh, Stamford, or Fort Lauderdale.