Director, Supervision – Broker Dealer

TL;DR

Director, Supervision – Broker Dealer (Broker-Dealer Compliance): Leads the firm’s broker-dealer supervisory program to ensure compliance with FINRA, SEC, and state regulatory requirements with an accent on supervisory strategy, surveillance enhancements, and regulatory examination readiness. Focus on supervising and developing regional supervisory principals, maintaining Written Supervisory Procedures (WSPs), and delivering executive reporting and supervisory training.

Location: Remote

Salary: $105,200–$147,950

Company

hirify.global is a publicly traded financial services company focused on helping educators protect and grow their financial future.

What you will do

• Lead the broker-dealer supervisory program and ensure compliance with applicable laws, regulations, and firm policies.
• Supervise, coach, and develop Regional Supervisory Principals, including leadership and performance management.
• Set strategic objectives for supervision aligned with enterprise compliance goals and oversee supervisory activities (new account approvals, trade reviews, variable annuity and insurance product reviews, branch surveillance, and heightened supervision).
• Maintain and enhance Written Supervisory Procedures (WSPs) and supervisory controls; identify emerging supervisory risks and implement monitoring and surveillance improvements.
• Prepare for regulatory examinations and coordinate responses to regulators and internal audit findings.
• Produce monthly and quarterly supervision reports for executive leadership and develop supervisory training for registered representatives, principals, and field leaders.

Requirements

• Bachelor’s degree in Business, Finance, or related field, or equivalent experience.
• 10+ years of broker-dealer compliance and supervisory experience, including at least 5 years in a leadership role.
• Strong knowledge of FINRA, SEC, and state securities regulations.
• Experience supervising variable annuities, mutual funds, alternative investments, and retirement products.
• FINRA SIE, Series 7, 24, 51, and 63/65 or 66 licenses required.
• Proven leadership, communication, relationship management, and regulatory interaction skills.

Culture & Benefits

• Remote work arrangement.
• Salary range commensurate with experience and location.
• Emphasis on building a strong culture of regulatory compliance and risk management through communication and continuous improvement.

Hiring process

• Interviews to evaluate leadership experience, regulatory supervision expertise, and ability to manage supervisory programs.
• Discussion of experience with WSPs, surveillance enhancements, and regulatory examination preparation.