Director, Broker Dealer Supervision Senior Strategist
Core
Design, develop, and execute strategic initiatives to enhance the firm's supervisory framework and align models with business strategy and regulatory expectations.
Role type
Senior IC strategy-level supervision architect
Builds
Scalable, risk-based oversight frameworks and modernized supervisory practices
Domain
Financial services / Broker-dealer regulation
Required skills
Broker-dealer supervision program design, Risk-based monitoring, Regulatory framework expertise (FINRA, SEC), Strategic execution, Cross-functional leadership, Change management
Preferred skills
Advanced degree (JD, MBA), Series 9/10 license
Technologies
None stated
Responsibilities
Lead design and implementation of strategic supervision initiatives and escalation frameworks; Serve as program lead for supervision modernization and digital enablement; Coordinate cross-functional working groups to align practices with regulatory expectations; Monitor industry trends and regulatory developments to inform strategic planning; Provide thought leadership on long-term supervision strategy.
Seniority
Senior, hands-on IC with strategic scope
