Supervisor BD/RIA (Series 7&24)

San Blas Securities; Chicago (IL); On-site; USD 80,000 - 100,000; Full time

Job summary

San Blas Securities, a full-service investment bank, is looking for a Compliance Supervisor to support regulatory and compliance efforts. This full-time position is based in Chicago and involves managing compliance training programs and document supervisory activities.

The ideal candidate should have a Bachelor's degree, relevant FINRA licenses, and 3-5 years of experience in regulatory environments, fostering a culture of compliance.

Competitive compensation and bonus structure based on experience, ranging from $80K to $100K.

Qualifications

• Bachelor’s degree or experience equivalent.
• FINRA Series 7 and FINRA Series 24 required.
• 3-5 years relevant experience at RIA and BD or industry regulator.

Responsibilities

• Review and enforce the firm’s Written Supervisory Procedures.
• Manage firm’s onboarding training program for compliance.
• Document supervisory activities.
• Review advisors' communications to clients.
• Assist in conducting Branch Exams.

Skills

Detail-oriented

Organizational skills

Knowledge of regulatory compliance

Education

Bachelor’s degree or equivalent experience

Tools

RBC back-office

Schwab back-office

Job description

About San Blas Securities

San Blas Securities is a rapidly growing, full‑service investment bank and independent advisor network. We provide our advisors and their clients with exceptional service and innovative financial solutions. We foster a collaborative and supportive work environment where our employees can thrive and grow professionally.

Position Overview

We are seeking a highly organized and detail‑oriented Compliance Supervisor to help support our regulatory and compliance efforts. This is an opportunity to work with the Compliance team led by the Chief Compliance Officer in a highly collaborative atmosphere. The position is full‑time, based in Chicago, with less than 10% travel.

Adhere to FINRA Rule 3110 requires a firm to establish and maintain a system to supervise the activities of its associated people that is reasonably designed to achieve compliance with the applicable securities laws and regulations and FINRA rules.

Compensation

Competitive compensation and bonus based on experience. $80 – $100K.

Responsibilities

• Review and enforce the firm’s Written Supervisory Procedures and Compliance initiatives.
• Manage firm’s onboarding training program for compliance with new hires
  • Schedule new hire training
  • Assist in administering firm annual training and advisor attestations
  • Schedule targeted training as required
• Foster a culture of compliance
• Document supervisory activities
• Review advisors purchase and sales blotter
• Review advisors communications to (and from) clients
• Review/report customer complaints to CCO
• Assist in conducting Branch Exams
• Assist in review and follow up with exception reports generated by Compliance which require action from supervisors

Qualifications

• Bachelor’s degree or experience equivalent
• FINRA Series 7 and FINRA Series 24 required
• 3 – 5 years relevant experience at RIA and BD or industry regulator
• Working knowledge of the Investment Advisers Act, the Investment Company Act, and related regulatory requirements; application of SEC rules
• Familiarity with RBC and Schwab back‑office a plus