Job Description

Responsibilities

As the Assistant Director - Supervision Program Manager you’ll provide operational leadership in support of key business objectives and transformation initiatives specific to supervisory risk mitigation controls. You’ll develop, document, and support effective and efficient supervisory processes, controls, and technology while ensuring execution drives optimal results!

You’ll have the opportunity to:

Cultivate strong relationships with key internal and external partners to ensure collaborative efforts lead to far-reaching process and control improvements.
Evaluate, maintain, and revise firm documents and written procedures to ensure efficient adherence to regulatory and B-D/RIA controls.
Design and test new supervisory control systems, account surveillances, and procedures based on regulatory changes and updates in firm priorities.
Lead and oversee activities to ensure critical goals are met and manage supervision program tools and platforms, including contract negotiations
Devise new procedures and controls that support supervision objectives including broad training opportunities.
Evaluate and assess the supervision program’s strengths and weaknesses on an ongoing basis.
Support the Chief Supervision Officer and Supervision Department by gathering statistical performance data, analyzing the data and reporting and offering analysis and insight.
Stand-in as needed to assist with and fulfill the department management responsibilities.

Qualifications

Bachelor’s degree or equivalent experience plus 10+ years related work experience required.
Financial services industry experience, with significant experience in senior level roles in broker-dealer and registered investment adviser compliance, risk, operations, or technology.
FINRA Series 6 or Series 7 preferred.
Significant experience with LEAN, Six-sigma, Agile methodologies.
Regulatory knowledge of Investment Adviser’s Act of 1940 and FINRA regulations.
Ability to exercise strong judgement around indispensable services.
Proven experience working in a team environment with strong collaboration, as well as a dynamic environment where challenges will require flexibility and new ideas.
Proven experience managing complex projects and leading large-scale transformation or change initiatives, prioritizing and handling multiple tasks and deadlines simultaneously.
Proven experience designing and implementing new technology or digital tools.
Evidence solid judgement and sound decision-making skills.
General knowledge of public and privately traded securities and managed account platforms.
Ability to look beyond present needs and evaluate long term effects of current decisions and actions.
Excellent written and verbal communication and presentation skills.
Exhibit strong command of all Microsoft Office applications.
Ability to travel for business purposes as needed.