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NewEdge Capital Group · 5 days ago

Compliance Supervisor - Broker Dealer

Pittsburgh, PA

Full-time

Onsite

Mid, Senior Level

2+ years exp

NewEdge Capital Group is a growing, dynamic, entrepreneurial broker dealer seeking an experienced Compliance Supervisor. The role involves supervising registered representatives, ensuring compliance with regulations, and collaborating with various departments to address client needs.

AdviceFinanceWealth Management

Responsibilities

As a Firm Principal performs primary supervision and activity surveillance for assigned branch offices

Performs required supervisory functions such as advertising review, daily transaction monitoring, suitability review, utilizing the firm’s compliance vendors (such as Orion Compliance, FIS Protegent and Global Relay)

Partners and collaborates with various departments to address needs and requests of clients and advisors

Escalation source for teams to help analyze situations and provide solutions while mitigating risk

Serves as primary regulatory contact for assigned branches and registered reps. Investigates, assists and remediates potential violations of compliance program elements

Assists in preparing responses to regulatory inquiries from the SEC, FINRA, and state regulators

Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to broker-dealers

Conducts employee training with respect to the compliance program

Special projects as needed

Qualification

FINRA Series 7 & 24 LicensesBroker/Dealer Supervisory experienceSECFINRA lawsCustodian experienceMicrosoft Office SuiteAnalyze situationsMulti-taskCommunicate with managementVerbal communication skillsInterpersonal skillsOrganizational skillsAttention to detailWork independently