Hybrid FINRA Compliance Supervisor – New Accounts

Kovack Financial Network; Fort Lauderdale (FL); Hybride; USD 95 000 - 135 000; Plein temps

Avantages offerts par ce poste

PTO

Health insurance

Vision coverage

Dental insurance

Résumé du poste

Kovack Financial Network in Fort Lauderdale, FL is seeking a Supervisory Principal for a full-time hybrid role with partial remote work. You will supervise new account activity, document reviews, and ensure FINRA/SEC compliance across broker-dealer and RIA processes. Strong collaboration with Compliance, Legal and Operations is required.

The role requires Series 24, 3–6 years of supervisory compliance experience, and a detail-oriented approach to account documentation and product reviews.

Qualifications

• Active FINRA Series 24 required.
• 3–6 years of experience in broker-dealer compliance or related supervisory role.
• Strong working knowledge of FINRA and SEC rules and broker-dealer/RIA supervisory requirements.
• Experience reviewing new account documentation and investment products.

Responsabilités

• Perform supervisory reviews of new account applications and related activity to ensure compliance with firm policies and regulatory requirements.
• Review and approve new accounts and transactions across a range of investment products and account types.
• Evaluate documentation for completeness, accuracy, suitability, and regulatory compliance.
• Conduct supervisory reviews of registered representatives’ and investment advisors’ activities under FINRA/SEC rules.
• Identify and escalate regulatory, suitability, or documentation concerns to senior compliance leadership.
• Resolve deficiencies by obtaining missing information from financial professionals.
• Maintain thorough supervisory documentation and records related to reviews, approvals, exceptions, and escalations.
• Collaborate with Compliance, Operations, Legal and other internal teams on complex issues.
• Assist with regulatory inquiries, examinations, audits, and internal reviews as needed.

Connaissances

FINRA Series 24

Supervisory experience

Formation

Bachelor’s degree

Description du poste

Kovack Financial Network in Fort Lauderdale, FL is seeking a Supervisory Principal for a full-time hybrid role with partial remote work. You will supervise new account activity, document reviews, and ensure FINRA/SEC compliance across broker-dealer and RIA processes. Strong collaboration with Compliance, Legal and Operations is required.

The role requires Series 24, 3–6 years of supervisory compliance experience, and a detail-oriented approach to account documentation and product reviews.