Dir Supervision - Broker Dealer

US · Remote · Remote · Full-time · Senior

Remote worldwideSeniorOpen to China

Salary not stated

FINRA complianceSEC compliancebroker-dealer supervisionregulatory examinationperformance managementteam leadershipwritten supervisory proceduressurveillance programsrisk managementtraining development

Excerpt

Job Title: Director, Supervision – Broker Dealer Location: Remote Position Summary Leads the firm's broker-dealer supervisory program, ensuring compliance with FINRA, SEC, and state regulatory requirements. Oversees regional supervisory principals, drives supervisory strategy, enhances surveillance…

The summary and highlights are AI-generated and may contain errors; the original posting prevails.

Query understanding and Chinese summaries are generated by the Doubao (Yunque) large language model (generative AI service filing no. Beijing-YunQue-20230821; algorithm filing no. 网信算备110108823483901230065号), provided by Beijing Volcano Engine Technology Co., Ltd.

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