Assistant Director, Supervision

What You’ll Do:

We’re looking for an Assistant Director to join our Supervision team. In this role, you’ll provide leadership and guidance to a team of registered principals responsible for centralized supervision, oversight, and monitoring of business conducted by securities registered representatives and investment adviser representatives. You’ll ensure work is completed in accordance with team SLAs, policies, procedures, and applicable regulatory requirements. You’ll also lead the continued development of the supervisory framework, risk mitigation strategies, and internal controls in support of strategic initiatives and serve as an escalation point and key partner for supervision-related matters.

You’ll have the opportunity to:

• Lead and manage a team of registered principals responsible for the day-to-day execution of the supervision program. Establish performance expectations, coach and develop employees, manage team capacity and SLAs, and ensure work is completed consistently and in alignment with supervisory standards. Oversee new-hire training and team calibration activities to support a consistent, risk-balanced approach to supervision.
• Represent supervision as a subject matter expert on internal and strategic business initiatives and lead the ongoing enhancement of supervisory processes and systems, ensuring they remain robust, efficient, and responsive to evolving regulatory requirements. Identify and assess supervisory risks to the firm, including potential issues of non-compliance, and develop and implement appropriate mitigation strategies and controls.
• Contribute to the design and implementation of data-driven supervision strategies. Partner with cross-functional teams to analyze supervision-related datasets and ensure monitoring and reporting capabilities are efficient, scalable, and strategically aligned. Serve as a key liaison in the development and ongoing refinement of dashboards and reporting metrics to provide actionable insights to senior leadership and inform risk-based models.
• Build and maintain trusted relationships with leaders, financial professionals, and key business partners. Oversee ongoing engagement with leaders, ensuring identified issues and areas of concern are communicated, monitored, and addressed through appropriate resolution.
• Coordinate and provide oversight for compliance testing, audits, and regulatory inquiries or examinations as needed. Ensure information is gathered and provided in a timely manner and oversee the completion of applicable action plans.
• Perform other job-related duties and special projects as assigned.

Operating at the intersection of financial services and technology, Principal builds financial tools that help our customers live better lives. We take pride in being a purpose-led firm, motivated by our mission to make financial security accessible to all. Our mission, integrity, and customer focus have made us a trusted leader for more than 140 years!

Who You Are:

• 8+ years of financial services industry experience in Broker-Dealer/RIA supervision, compliance, or risk management, demonstrated through a combination of work experience, training, military experience, or education.
• Bachelors degree highly preferred
• 3+ years of formal or informal leadership experience.
• FINRA Series 7, 24 are required.
• FINRA Series 65 (or 66) license strongly preferred or must obtain within six months of hire.
• Strong leadership and coaching skills, with the ability to provide guidance, develop others, and support team performance.
• Knowledge of publicly and privately traded securities and managed account platforms.
• Knowledge of the Investment Advisers Act of 1940 and applicable FINRA regulations.
• Demonstrated initiative, flexibility, collaboration, and sound judgment.
• Strong organizational, prioritization, problem-solving, and analytical skills, with the ability to manage multiple priorities and deadlines in a changing environment.
• Project management experience preferred.
• Experience with artificial intelligence tools and their application within supervision, compliance, or risk management preferred.
• Familiarity with data visualization tools, such as Tableau or Power BI, preferred.
• Occasional business travel required, less than 25%.
• Must be a FINRA associated person, which requires fingerprinting and a background check.

Salary Range Information: Salary ranges below reflect targeted base salaries. Non-sales positions have the…