Zone a: $129,000 - $193,600; zone b: $119,900 - $1...
On-site
5+ years broker-dealer compliance experience
Finra series 7, 24, and 63 registrations
Direct experience with finra rule 2210 communications supervision
The role involves owning broker-dealer supervisory functions including pre-approval of retail communications under FINRA Rule 2210 and employee oversight
Job Summary
The role involves owning broker-dealer supervisory functions including pre-approval of retail communications under FINRA Rule 2210 and employee oversight.
Candidates must utilize AI tools as a core part of daily execution to drive efficiency while maintaining rigorous human judgment.
The position offers competitive compensation ranging from $103,200 to $193,600 USD depending on location zone, along with comprehensive benefits like remote work options.
Matching Summary
The role involves owning broker-dealer supervisory functions including pre-approval of retail communications under FINRA Rule 2210 and employee oversight.
Salary
Zone A: $129,000 - $193,600; Zone B: $119,900 - $179,900; Zone C: $113,600 - $170,400; Zone D: $103,200 - $154,800
Skills & Requirements
Must-have
5+ years broker-dealer compliance experience
FINRA Series 7, 24, and 63 registrations
Direct experience with FINRA Rule 2210 communications supervision
Proficiency with generative AI tools for daily tasks
Experience with Smarsh or comparable surveillance platforms
Nice-to-have
AI-first mindset for compliance innovation
Strong written communication for regulatory responses
Intellectual curiosity and bias toward experimentation
Ability to draft governance artifacts and memos
Comfort operating in fast-paced environments
Key Requirements
5+ years in broker-dealer compliance
Active FINRA Series 7, 24, and 63 licenses
Experience supporting FINRA/SEC examinations
Demonstrated proficiency with AI tools
Familiarity with communications surveillance platforms