Chief Supervisory Officer - RIA and Brokerage Firm

  • Negotiable
  • Manhattan, NY, USA
  • Permanent, Full time
  • Michael Page International - US
  • 20 Oct 17 2017-10-20

Our client, a registered investment advisor and brokerage firm, is seeking a Chief Supervisory Officer to join their senior leadership team.

Market Leading Investment Advisor and Brokerage Firm


  • Responsible for implementing, and monitoring the firm's supervision and surveillance programs to ensure effective monitoring of all sales practice activities
  • Manage an organization of approximately (15) Regional Supervisory Officers (RSOs) which in turn supervise a current population of approximately 800 registered persons and 1,100 associated individuals.
  • Partner with executive management, department heads, branch managers, Registered Representatives, (RR's) and other staff to provide advice and promote a culture of compliance throughout the Company and its affiliates.
  • Oversee the Supervision of Retail, Insurance, Alternative Investments, Advisory, Fixed Insurance, and Registrations/Licensing Departments.
  • Enforce Written Supervisory Procedures (WSPs) throughout the Supervisory system for the Company and its affiliates
  • Manage the supervision department, including staff, budget and expenditures
  • Resolve issues escalated by Regional Supervisory Officers, Branch Owners, OSJ Principals, other department heads, or other members of the Senior Management Team.
  • Review and approve all branch office locations, designated supervisors, Outside Brokerage Accounts (OBA) and Outside Business Interests (OBI) , DBAs, outside email addresses, use of IM or other electronic communication applications, Private Securities Transactions, Form BRs, Offsite Locations, and IAR approvals
  • May serve as member or chair on various Company Committees relating to Operations, Hiring, Product Reviews, Risk, etc.
  • Serve as an overall resource for Supervision and foster a success-oriented, accountable environment within the departments


  • FINRA Series 4, 7, 8, (9/10), 24, 53, 63 and 65 or 66, and 79
  • A diverse Supervision background in investment banking, brokerage, insurance, investment management and trading.
  • Excellent written, verbal and interpersonal communication skills.
  • In-depth knowledge of FINRA Regulatory rules and the securities industry as it relates to the head of supervision management responsibilities.
  • Ability to overcome obstacles to cooperation and to foster harmonious relations.
  • The successful candidate must be strong and self-assured when dealing with adversity and difficult personalities, and conversely sensitive to the needs and problems of the business to ensue successful resolution to issues and problems requiring resolution and education.
  • Foresight to grow as the firm expands.

Job Offer

Competitive Base Salary, Discretionary Annual Bonus and Comprehensive Benefits Package