Director of Compliance & Supervision – Financial Services

Claire Myers Consulting; Boise (ID); On-site; USD 90,000 - 120,000; Full time

Job summary

A leading consulting firm is seeking a Director of Supervision to lead compliance efforts within their organization. The ideal candidate will have 5-7 years of experience in financial services, with strong compliance knowledge and leadership capabilities. Key duties include supervising compliance tools, conducting audits, and training staff. This role is essential for fostering a culture of compliance and managing risk effectively.

Qualifications

• 5–7 years of experience in the financial services industry focusing on compliance.
• In-depth understanding of industry regulations and supervisory procedures.

Responsibilities

• Review and supervise compliance monitoring tools.
• Conduct on-site inspections and compliance interviews.
• Maintain accurate records per FINRA requirements.
• Train financial professionals on compliance topics.

Skills

Strong decision-making

Critical thinking

Organizational skills

Excellent verbal communication

Excellent written communication

Education

Active FINRA Series 7, 9/10, and 63 registrations

Active Life/Health licenses

Job description

A leading consulting firm is seeking a Director of Supervision to lead compliance efforts within their organization. The ideal candidate will have 5-7 years of experience in financial services, with strong compliance knowledge and leadership capabilities. Key duties include supervising compliance tools, conducting audits, and training staff. This role is essential for fostering a culture of compliance and managing risk effectively.