Practice Qualified Supervisor

&Partners; United States; On-site; USD 110,000 - 150,000; Full time

Job summary

&Partners is seeking an experienced Practice Supervisor to provide supervisory oversight and compliance support for our Financial Advisor practices. This role serves as a key partner to the field, helping ensure regulatory requirements, firm policies, and supervisory procedures are followed in a fast-paced environment.

The ideal candidate brings a strong supervision and compliance background, holds active FINRA registrations, and demonstrates sound judgment in ambiguous scenarios.

Qualifications

• Experience in supervision, compliance, or regulatory oversight within financial services.
• Active FINRA registrations as listed (e.g., Series 7/63/65 or Series 66/9/10/24).
• Knowledge of securities regulations, supervisory practices, and compliance requirements.
• Ability to analyze complex situations and make sound decisions in ambiguity.
• Excellent organizational and time-management skills.
• Ability to build relationships with Advisors and cross-functional teams.

Responsibilities

• Serve as the primary supervisor for assigned Financial Advisor practices.
• Review and approve client communications in line with policies and regulatory requirements.
• Conduct trade blotter reviews and approve or resolve supervisory alerts and exceptions.
• Partner with Financial Advisors, branch leadership, and home office teams on supervision and compliance.
• Provide guidance on firm policies, supervisory procedures, and regulatory expectations.
• Identify and escalate supervision and compliance concerns promptly.
• Maintain accurate supervisory records and documentation.
• Monitor supervisory activities for regulatory and firm compliance.
• Prioritize multiple responsibilities and manage deadlines in a dynamic environment.
• Exercise independent judgment and risk-based decision making when unclear.

Skills

Supervision

Regulatory oversight

FINRA registrations

Regulatory knowledge

Analytical decision-making

Organizational skills

Communication skills

Job description

We are seeking an experienced Practice Supervisor to provide supervisory oversight and compliance support for our Financial Advisor practices. This role serves as a key partner to the field, helping ensure regulatory requirements, firm policies, and supervisory procedures are followed while supporting advisors and branch personnel in a fast-paced environment.

The ideal candidate brings a strong supervision and compliance background, possesses the required FINRA registrations, and demonstrates sound judgment when navigating complex situations where the appropriate path is not always clearly defined. Success in this role requires exceptional organizational skills, strong decision-making abilities, and the ability to build effective relationships across all levels of the organization.

Responsibilities

• Serve as the primary supervisor for assigned Financial Advisor practices.
• Review and approve client communications in accordance with firm policies and regulatory requirements.
• Conduct trade blotter reviews and approve or resolve supervisory alerts and exceptions.
• Partner closely with Financial Advisors, branch leadership, and home office teams on supervision and compliance-related matters.
• Provide guidance and support regarding firm policies, supervisory procedures, and regulatory expectations.
• Identify, escalation, and help resolve supervision and compliance concerns in a timely manner.
• Maintain accurate supervisory records and documentation.
• Monitor supervisory activities to ensure adherence to regulatory and firm requirements.
• Effectively prioritize multiple responsibilities and manage competing deadlines in a dynamic environment.
• Exercise independent judgment and make risk-based decisions when circumstances are not clearly defined.

Required Qualifications:

• Previous experience in a supervision, compliance, or regulatory oversight role within the financial services industry.
• Active FINRA registrations including: Series 7, Series 63 and 65, or Series 66 and Series 9/10 or Series 24
• Strong knowledge of securities industry regulations, supervisory practices, and compliance requirements.
• Demonstrated ability to analyze complex situations and make sound decisions in ambiguous circumstances.
• Exceptional organizational and time-management skills.
• Strong attention to detail and ability to manage multiple priorities simultaneously.
• Excellent verbal and written communication skills.
• Ability to build strong relationships with Advisors and work collaboratively across various teams and departments within the Home Office.
• Proven ability to perform effectively in a fast-paced, high-volume, and occasionally stressful environment.

Preferred Skills

• Experience reviewing client communications, trade activity, and supervisory alerts.
• Knowledge of branch office supervision and risk management practices.
• Experience partnering directly with field leaders and advisors to address compliance and supervisory issues.

What Success Looks Like

The successful candidate will be a trusted partner to the field, balancing regulatory oversight with practical business support. They will consistently demonstrate sound judgment, strong communication skills, and the ability to manage a broad range of supervisory responsibilities while maintaining a high standard of service and compliance.