Assistant Director, Supervision

About the job

This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for an Assistant Director, Supervision based in the United States.

The Assistant Director, Supervision will lead a team of registered principals responsible for overseeing securities and investment advisory activities in a regulated financial services environment. This role combines people leadership, compliance oversight, risk management, and strategic process improvement. You will help strengthen supervisory controls, enhance monitoring capabilities, and ensure operations align with internal policies and regulatory requirements. Working closely with business leaders and cross-functional partners, you will support data-driven decision-making and the development of scalable supervision strategies. You will also serve as a trusted escalation point, helping resolve complex issues while promoting consistent standards and team performance. This is an opportunity to influence supervisory practices, develop talent, and contribute to a strong culture of integrity and accountability.

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Accountabilities

• Lead and manage a team of registered principals responsible for centralized supervision, monitoring, and oversight of securities representatives and investment adviser representatives.

• Establish performance expectations, coach and develop team members, manage capacity and service-level agreements (SLAs), and ensure consistent execution of supervisory responsibilities.

• Oversee onboarding, training, and calibration activities to promote a consistent, risk-based approach to supervision.

• Serve as a subject matter expert on business initiatives and lead improvements to supervisory processes, systems, internal controls, and risk mitigation strategies.

• Identify, assess, and address supervisory risks and potential compliance issues by implementing appropriate controls and corrective measures.

• Collaborate with cross-functional teams to develop data-driven supervision strategies, improve monitoring capabilities, and strengthen reporting processes.

• Contribute to the development and refinement of dashboards, reporting metrics, and risk-based models that provide actionable insights to senior leadership.

• Build and maintain trusted relationships with business leaders, financial professionals, and key stakeholders, ensuring concerns are communicated, monitored, and resolved appropriately.

• Coordinate compliance testing, audits, regulatory inquiries, and examinations, ensuring timely information delivery and completion of required action plans.

• Lead or contribute to special projects and perform other related responsibilities as needed.

Requirements:

• At least 8 years of financial services industry experience in broker-dealer or registered investment adviser (RIA) supervision, compliance, or risk management.

• A bachelor's degree is highly preferred.

• At least 3 years of formal or informal leadership experience, including coaching, employee development, or team coordination.

• Active FINRA Series 7 and Series 24 licenses are required.

• FINRA Series 65 or Series 66 license is strongly preferred; candidates without it must obtain it within six months of hire.

• Strong knowledge of publicly and privately traded securities, managed account platforms, the Investment Advisers Act of 1940, and applicable FINRA regulations.

• Demonstrated leadership, communication, collaboration, flexibility, initiative, and sound professional judgment.

• Excellent organizational, analytical, prioritization, and problem-solving skills, with the ability to manage multiple deadlines in a changing environment.

• Experience with project management is preferred.

• Familiarity with artificial intelligence tools and their application in supervision, compliance, or risk management is preferred.

• Experience with data visualization and reporting tools such as Tableau or Power BI is preferred.

• Willingness to travel occasionally for business, with travel expected to remain below 25%.

• Must qualify as a FINRA-associated person, including completion of required fingerprinting and background checks.

• Applicants must be authorized to work in the United States without requiring current or future immigration sponsorship.

Benefits:

• Annual base salary: $127,000–$171,000, depending on geographic location, experience, education, licenses, and skill level.

• Eligibility to participate in a bonus program for non-sales positions.

• Flexible Time Off (FTO) for salaried employees, covering vacation, personal time, and short-term illness.

• Pension eligibility.

• Flexible work arrangements, including in-office, hybrid, and remote options. Remote work is available only to employees residing more than 30 miles from Des Moines, Iowa.

• A comprehensive benefits offering designed to support physical, financial, and social well-being.

• Opportunity to contribute to strategic initiatives, improve compliance practices, and develop leadership capabilities in a financial services environment.

\nHow Jobgether works:

We use an AI-powered matching process to ensure your application is reviewed quickly, objectively, and fairly against the role's core requirements. Our system identifies the top-fitting candidates, and this shortlist is then shared directly with the hiring company. The final decision and next steps (interviews, assessments) are managed by their internal team.

We appreciate your interest and wish you the best!

 Why Apply Through Jobgether?

Data Privacy Notice: By submitting your application, you acknowledge that Jobgether will process your personal data to evaluate your candidacy and share relevant information with the hiring employer. This processing is based on legitimate interest and pre-contractual measures under applicable data protection laws (including GDPR). You may exercise your rights (access, rectification, erasure, objection) at any time.

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