Upvote
Downvote
Associate Director of Supervision
Share Job
- Suggest Revision
Full-time
- The Associate Director of Supervision supports the Managing Partner (and/or the Director of Supervision/Chief Supervision Officer) in shaping the culture of compliance in the office.
- You’ll support the Director/Chief/MP in implementing the supervision strategy and risk management approach for the office.
- Perform review and supervision of multiple systems, including, but not limited to, flagged email and social media correspondence, transaction/trend supervision, and compliance monitoring systems
- Help maintain books and records for the Offices of Supervisory Jurisdiction, Registered Branch Offices and other field locations as required by FINRA
- Active and valid FINRA Series 7, 9/10 and 63 registrations, or the ability to obtain within 3 months
Expired 21 days agoInactive Job
Similar Job
Relevance
Active