Assistant Director, Supervision

Accountabilities

• Lead and manage a team of registered principals responsible for centralized supervision, monitoring, and oversight of securities representatives and investment adviser representatives.

• Establish performance expectations, coach and develop team members, manage capacity and service-level agreements (SLAs), and ensure consistent execution of supervisory responsibilities.

• Oversee onboarding, training, and calibration activities to promote a consistent, risk-based approach to supervision.

• Serve as a subject matter expert on business initiatives and lead improvements to supervisory processes, systems, internal controls, and risk mitigation strategies.

• Identify, assess, and address supervisory risks and potential compliance issues by implementing appropriate controls and corrective measures.

• Collaborate with cross-functional teams to develop data-driven supervision strategies, improve monitoring capabilities, and strengthen reporting processes.

• Contribute to the development and refinement of dashboards, reporting metrics, and risk-based models that provide actionable insights to senior leadership.

• Build and maintain trusted relationships with business leaders, financial professionals, and key stakeholders, ensuring concerns are communicated, monitored, and resolved appropriately.

• Coordinate compliance testing, audits, regulatory inquiries, and examinations, ensuring timely information delivery and completion of required action plans.

• Lead or contribute to special projects and perform other related responsibilities as needed.

Requirements:

• At least 8 years of financial services industry experience in broker-dealer or registered investment adviser (RIA) supervision, compliance, or risk management.

• A bachelor's degree is highly preferred.

• At least 3 years of formal or informal leadership experience, including coaching, employee development, or team coordination.

• Active FINRA Series 7 and Series 24 licenses are required.

• FINRA Series 65 or Series 66 license is strongly preferred; candidates without it must obtain it within six months of hire.

• Strong knowledge of publicly and privately traded securities, managed account platforms, the Investment Advisers Act of 1940, and applicable FINRA regulations.

• Demonstrated leadership, communication, collaboration, flexibility, initiative, and sound professional judgment.

• Excellent organizational, analytical, prioritization, and problem-solving skills, with the ability to manage multiple deadlines in a changing environment.

• Experience with project management is preferred.

• Familiarity with artificial intelligence tools and their application in supervision, compliance, or risk management is preferred.

• Experience with data visualization and reporting tools such as Tableau or Power BI is preferred.

• Willingness to travel occasionally for business, with travel expected to remain below 25%.

• Must qualify as a FINRA-associated person, including completion of required fingerprinting and background checks.

• Applicants must be authorized to work in the United States without requiring current or future immigration sponsorship.

Benefits:

• Annual base salary: $127,000–$171,000, depending on geographic location, experience, education, licenses, and skill level.

• Eligibility to participate in a bonus program for non-sales positions.

• Flexible Time Off (FTO) for salaried employees, covering vacation, personal time, and short-term illness.

• Pension eligibility.

• Flexible work arrangements, including in-office, hybrid, and remote options. Remote work is available only to employees residing more than 30 miles from Des Moines, Iowa.

• A comprehensive benefits offering designed to support physical, financial, and social well-being.

• Opportunity to contribute to strategic initiatives, improve compliance practices, and develop leadership capabilities in a financial services environment.