Head of Supervision, Personal Investor

Overview

We're seeking a strategic forward-thinking Head of Supervision to lead the Personal Investor Supervisory Controls, Governance and Surveillance agenda within the Service and Operational Excellence (S&OE) Organization. This senior level role is pivotal to building a robust and modern supervisory framework that ensures compliance, accountability, and scalable oversight across business channels. This leader will be responsible for:

• Advancing a risk-intelligent and tech- enabled supervision model, including call and activity surveillance, supported by automation and generative AI.
• Establish a comprehensive governance framework that defines supervisory expectations and embeds consistent oversight practices aligned with evolving regulatory expectations.
• Driving end to end incentive compensation oversight, ensuring programs promote compliance behavior and align with enterprise conduct standards.
• Leading centralized supervision and audit engagement strategies that support front line teams, reinforce policy adherence and identify emerging supervisory risks.

• Lead Supervision Strategy: Define and execute the firms supervision model across functions, with a strong focus on modernization, automation, and Gen AI integration.
• Modernize Surveillance: Build and execute a scalable surveillance framework to monitor representative behavior and ensure compliance.
• Oversee Governance: Drive governance routines and reporting for Supervision, BDOC, Renumeration, and incentive compensation ensuring accountability and alignment with firmwide risk appetite and regulatory standards.
• Deliver Insightful Reporting: Produce data driven insights on supervisory health and behavioral trends to inform executive decision making and drive continuous improvement.
• Drive Conduct Risk Awareness: Embed supervisory responsibilities and ethical conduct expectations into frontline practices.
• Engage with Internal and External Stakeholders: Partner closely with Legal, Compliance, Risk and Audit to strengthen supervisory oversight and manage regulatory obligations.

• Minimum of ten years related work experience. Supervisory experience preferred.
• Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.
• Deep expertise in broker-dealer supervision and relevant supervisory control regulations.
• Strong knowledge of Broker Dealer compliance, front-line supervisory practices, and incentive compensation governance.
• Demonstrated ability to lead large scale supervision and surveillance modernization initiatives.
• Executive presence and relationship building skills to influence across senior stakeholders and regulatory bodies.
• Ability to translate complex data and behavioral analytics into actionable insights.
• Experience leading or supporting a formal governance body is strongly desirable.
• Comfort with ambiguity and ability to lead through complexity and change.
• FINRA SIE, Series 7, 63 and 24 licenses required.