Senior Broker-Dealer Compliance & Supervisory Lead

SFA Partners; Atlanta (GA); Sur place; USD 80 000 - 110 000; Plein temps

Résumé du poste

A financial services firm in Atlanta seeks an experienced compliance and supervision professional to report to the Chief Supervisory Officer. The role includes supervising OSJ managers, reviewing trade activity, and ensuring compliance with regulations. Candidates should have over 5 years in broker-dealer supervision, knowledge of investment products, and hold Series 7 and 24 certifications. Strong communication and analytical skills are essential for this fast-paced environment. Opportunities for travel may be involved.

Qualifications

• 5+ years’ experience in broker-dealer and/or investment adviser supervision or similar role.
• Knowledge of retail brokerage business and common investment products.
• Series 7 and Series 24 required.

Responsabilités

• Review common risk and regulatory issues and approve business conducted by OSJ managers.
• Supervisory review of trade blotters and new accounts.
• Conduct branch office examinations as needed.

Connaissances

Broker-dealer supervision experience

Investment adviser supervision experience

Strong verbal and written communications skills

Analytical skills

Proficient in Microsoft Office

Knowledge of FINRA Rules

Outils

Microsoft Office

Description du poste

A financial services firm in Atlanta seeks an experienced compliance and supervision professional to report to the Chief Supervisory Officer. The role includes supervising OSJ managers, reviewing trade activity, and ensuring compliance with regulations. Candidates should have over 5 years in broker-dealer supervision, knowledge of investment products, and hold Series 7 and 24 certifications. Strong communication and analytical skills are essential for this fast-paced environment. Opportunities for travel may be involved.