Assistant Director, Supervision
New
J
JobgetherFinancial services
Based in the United States; Remote work is available only to employees residing more than 30 miles from Des Moines, Iowa.Full-TimeDirector
SalaryAnnual base salary: $127,000–$171,000, depending on geographic location, experience, education, licenses, and skill level.
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Job Details
- Experience
- At least 8 years of financial services industry experience in broker-dealer or registered investment adviser (RIA) supervision, compliance, or risk management; at least 3 years of formal or informal leadership experience.
- Required Skills
- Project ManagementMicrosoft Power BITableauComplianceRisk Management
Requirements
- At least 8 years of financial services industry experience in broker-dealer or registered investment adviser (RIA) supervision, compliance, or risk management.
- At least 3 years of formal or informal leadership experience, including coaching, employee development, or team coordination.
- Active FINRA Series 7 and Series 24 licenses are required.
- FINRA Series 65 or Series 66 is strongly preferred; candidates without it must obtain it within six months of hire.
- Strong knowledge of publicly and privately traded securities, managed account platforms, the Investment Advisers Act of 1940, and applicable FINRA regulations.
- A bachelor's degree is highly preferred.
- Project management experience is preferred.
- Familiarity with artificial intelligence tools and their application in supervision, compliance, or risk management is preferred.
- Experience with data visualization and reporting tools such as Tableau or Power BI is preferred.
- Willingness to travel occasionally for business, with travel expected to remain below 25%.
Responsibilities
- Lead and manage registered principals responsible for centralized supervision, monitoring, and oversight of securities representatives and investment adviser representatives.
- Set performance expectations, coach and develop team members, manage capacity and service-level agreements, and ensure consistent supervisory execution.
- Oversee onboarding, training, and calibration to promote a consistent, risk-based approach to supervision.
- Lead improvements to supervisory processes, systems, internal controls, and risk mitigation strategies.
- Identify and address supervisory risks and potential compliance issues through appropriate controls and corrective measures.
- Collaborate with cross-functional teams to improve data-driven supervision strategies, monitoring capabilities, and reporting processes.
- Contribute to dashboards, reporting metrics, and risk-based models that provide actionable insights to senior leadership.
- Build relationships with business leaders, financial professionals, and stakeholders, and ensure concerns are communicated, monitored, and resolved.
- Coordinate compliance testing, audits, regulatory inquiries, and examinations, including timely information delivery and action-plan completion.
- Lead or contribute to special projects and perform related responsibilities as needed.
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