Compliance & Supervision Manager
Compliance & Supervision Manager
Location: Tampa, FL (Hybrid)
Employment Type: Full-Time
Compensation: $70,000 - $80,000 + annual bonus
Overview
A financial services organization is seeking a Compliance & Supervision Manager to support the oversight of investment and advisory activities while helping maintain a strong culture of compliance and risk management.
This position will work closely with financial professionals and internal stakeholders to review business activity, provide regulatory guidance, identify potential risks, and ensure adherence to internal policies and industry requirements.
Key Responsibilities
- Review and evaluate client-facing business activities for adherence to regulatory and supervisory standards.
- Conduct account and transaction reviews to identify potential risks and ensure appropriate documentation.
- Provide guidance to financial professionals on firm policies, regulatory expectations, and best practices.
- Assist with approvals related to business activities, client accounts, and other supervision-related matters.
- Monitor reports and trends to identify areas of concern and escalate issues when necessary.
- Partner with Compliance, Operations, Legal, and business teams to support effective risk management.
- Participate in regulatory initiatives, internal reviews, and special projects.
- Assist with training and education programs for advisors and support personnel.
- Help enhance supervisory processes, controls, and overall compliance effectiveness.
Qualifications
- 3+ years of experience within compliance, supervision, risk management, or financial services.
- Knowledge of broker-dealer, investment advisory, or wealth management environments.
- Familiarity with SEC, FINRA, and general financial services regulations.
- Strong analytical, investigative, and problem-solving abilities.
- Excellent communication and relationship-building skills.
- Ability to manage multiple priorities in a fast-paced environment.
- Bachelor's degree preferred.
Required Licenses
- FINRA Series 7
- FINRA Series 24
- Series 63, 65, or 66
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