NewEdge Capital Group · 16 hours ago
Compliance Supervisor - Broker Dealer
Pittsburgh, PA
Full-time
Onsite
Mid, Senior Level
2+ years expNewEdge Capital Group is a growing, dynamic broker dealer seeking an experienced Compliance Supervisor who enjoys working in a team environment while executing responsibilities independently. The role involves primary supervision and activity surveillance for assigned branch offices, regulatory contact for branches, and addressing compliance-related inquiries and training.
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
Required
Bachelor's degree in related field preferred
FINRA Series 7 & 24 Licenses
2+ years Broker/Dealer Supervisory experience
Excellent verbal and written communication skills
Excellent interpersonal and customer service skills
Proficient in Microsoft Office Suite or related software
Excellent organizational skills and attention to detail
Strong understanding of the Broker Dealer supervision as well as a thorough knowledge of relevant SEC, FINRA, SEC and State securities laws
Ability to analyze situations for compliance and business risk and implement solutions to address and mitigate such risk
Ability to work independently and multi-task
Ability to communicate with highest level of management internally and externally
Preferred
Custodian experience with National Financial Services/Fidelity a plus
Benefits
Health
Dental
Vision
Short-term disability
Long-term disability
Life insurance
PTO
401(k) match (after applicable waiting periods)
Company
NewEdge Capital Group
NewEdge Capital Group is a financial and wealth management company.
201-500 employees
Funding
Current Stage
Growth StageLeadership Team
James Jesse
Chief Executive Officer
Recent News
2025-12-09
2025-08-23
2025-08-22
Company data provided by crunchbase