Director, Supervision Governance

Key Responsibilities

• Lead the firm-wide governance and oversight of broker dealer Written Supervisory Procedures (WSPs), including drafting, updating, and coordinating policy changes in response to regulatory developments, end-to-end business activity, and internal control enhancements.
• Manage a team of supervision analysts and/or supervisory principals responsible for executing supervisory reviews, control testing, and procedural documentation.
• Facilitate governance routines, including supervisory committees, policy vetting cycles, and internal audits; prepare agendas, minutes, and follow-up actions.
• Partner with Compliance and Legal to ensure supervisory procedures align with regulatory requirements (e.g., FINRA Rules 3110, 3120, 3130) and firm policies.
• Oversee supervisory control testing programs and contribute to annual supervisory certifications and reports to senior management.
• Provide strategic leadership on supervision modernization initiatives, including technology implementations, data-driven oversight models, and process improvements.
• Serve as escalation point for supervisory issues identified across business units; coordinate remediation plans and ensure timely resolution.
• Support training and development of supervisory staff; foster a culture of accountability, risk awareness, and continuous improvement.
• Provide thought leadership and collaborate with business leaders to ensure existing or new products, services, and strategic initiatives have required supervision necessary to meeting regulatory obligations.

• Bachelor's degree required; advanced degree (JD, MBA) preferred.
• Minimum 10 years of experience in brokerage financial services, with at least 5 years in supervision, compliance, or risk management roles.
• Demonstrated experience managing teams and leading cross-functional initiatives.
• Deep understanding of broker-dealer regulatory framework, including FINRA, SEC, and state securities regulations.
• Strong writing, communication, and presentation skills; ability to influence across organizational levels.
• Active FINRA licenses required: Series 7, Series 24, 9/10, or equivalent supervisory licenses required.
• Experience with governance routines, policy development, and supervisory control testing.
• Proven ability to manage complex projects and drive organizational change.