Field Supervision Department Leaders (DL) are registered with FINRA as supervisory principals, are tasked with the overall performance of the department, and provide leadership to ensure compliance with industry and firm rules, regulations, and policies.

　　Key Responsibilities include:

　　Understand and interpret firm and industry rules, regulations, and policies with a superior knowledge of firm offered products and firm systems.

　　Lead risk mitigation strategies and oversight of branch supervision and activity in alignment with the best interest of the client.

　　Establish and drive the execution of the department's key performance indicators, goals, and objectives, while anticipating current and future business needs.

　　Influence and execute vision for the department staffing and retention strategy and highly involved with complex human resources matters.

　　Create and sustain an environment that fosters the growth mindset, cultural awareness, and empathy for all associates and leaders, to align with the firm's commitment to diversity, equity, and inclusion.

　　Engage and inspire the continuous growth and development of Team Leaders and associates. Champion innovative thinking and implement change management methodologies that significantly impact the strategic direction of the department, division, and firm.

　　Key stakeholder and valued business partner with the Legal department and regulatory areas to satisfy inquiry requests, internal audits, and examinations from regulatory agencies such as FINRA, the SEC and various states. Routinely represent the firm during industry conferences and regulatory matters; may be asked to participate in legal proceedings.

　　Analyze and authorize routine and non-routine department expenditures to ensure appropriate allocation of firm resources.

　　Accountable for the department's adherence to firm policies, industry standards, and regulatory agreements through oversight and reasonable documentation.

　　Establish, maintain, and enforce Written Supervisory Procedures (WSPs).

　　Travel may be required for compliance or industry related matters

　　Bachelor's degree required.FINRA Series 7 license is required.FINRA Series 66 license or equivalent is required.FINRA Series 24 license is required.FINRA Series 9 and 10 (or equivalent) are required.Life and Health Insurance license is required.Prior leadership experience is required.10 years of industry experience or 5 years of supervisory, compliance oversight, or risk management experience is required.Extensive securities product knowledge, detailed understanding of industry regulations and rules surrounding branch office supervision, and a comprehensive understanding of firm supervisory systems, procedures, policies, and cultureEqual Opportunity Employer - minorities/females/veterans/individuals with disabilities/sexual orientation/gender identity