Compliance Supervision
📋 Role Overview & Responsibilities
Top Tier Broker-Dealer/ RIA is seeking a Compliance Supervisory Relationship Manager to join their team! ResponsibilitiesProvide insight by building meaningful relationships with financial professionalsProvide and approve investment transactionsResolve escalated issuesManage relationship between financial professionals, the Broker-Dealer and RIA Home OfficeRecognize opportunities to optimize and improve Financial Professional’s day to day business.QualificationsPast experience working for a Securities Broker Dealer and/or Registered Investment AdviserSeries 7, 24 (or 9/10), and Series 65 or 66Candidates must possess an ability to interpret and apply FINRA and SEC regulation and recommend firm best practices to Financial Professionals and their staffStrong communication and relationship building experienceBachelors degree
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This position is located in Greater Tampa Bay Area with potential relocation and sponsorship assistance depending on candidate qualifications.
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