KEY RESPONSIBILITIES
Supervisory Oversight & Daily Operations
- Exercise General Securities Principal authority (Series 24) to supervise Home Office registered principals and registered representatives, including review and approval of new accounts, transactions, and correspondence
- Conduct real-time and post-trade surveillance of securities transactions, identifying and escalating potentially problematic activity or regulatory exceptions
- Review and approve customer communications, marketing materials, and sales literature for regulatory compliance
- Maintain and enforce the firm's Written Supervisory Procedures (WSPs), updating them regularly to reflect regulatory changes
- Supervise and mentor Supervision staff and registered representatives on supervision matters
Branch & OSJ Inspection Program
- Plan and execute a risk-based schedule of branch office and OSJ inspections in accordance with FINRA Rule 3110 requirements
- Document inspection findings, assign corrective actions, and track remediation to completion
- Evaluate and rate branch supervisory controls; escalate significant deficiencies to senior management
- Serve as primary point of contact for branch managers and registered representatives on escalated supervisory questions
Options & Municipal Securities Supervision
- Upon obtaining Series 4, assume Registered Options Principal responsibilities including supervision of options account approvals, strategies, and suitability determinations
- Upon obtaining Series 53, exercise Municipal Securities Principal authority to supervise municipal securities activities in compliance with MSRB rules
- Partner with product desk heads to ensure supervisory controls are in place during the license acquisition period
Regulatory Liaison & Examination Support
- Assist in the coordination and management of FINRA, SEC, and MSRB regulatory examinations, inquiries, and sweep letters
- Prepare supervisory documentation, exception reports, and supporting materials for regulatory submissions
- Collaborate with the Compliance team on the design and rollout of supervisory controls for new products and business lines
Training & Culture
- Design and deliver supervisory training programs for branch managers, OSJ principals, and registered representatives
- Foster a strong culture of supervision and accountability across the firm's distribution network
- Mentor junior supervision staff and provide coaching on best practices and regulatory expectations
Pay: $100,000.00 - $120,000.00 per year
Benefits:
- 401(k)
- 401(k) matching
- Dental insurance
- Flexible schedule
- Health insurance
- Health savings account
- Paid time off
- Retirement plan
- Vision insurance
Experience:
- FINRA: 5 years (Required)
License/Certification:
- S7, S24, & S66 (Required)
Work Location: Hybrid remote in Tampa, FL 33607
