Supervisor BD/RIA (Series 7&24)

About San Blas Securities:
San Blas Securities is a rapidly growing, full-service investment bank and independent advisor network. We provide our advisors and their clients with exceptional service and innovative financial solutions. We foster a collaborative and supportive work environment where our employees can thrive and grow professionally.

We are seeking a highly organized and detail-oriented Compliance Supervisor to help support our regulatory and compliance efforts. This is an opportunity to work with the Compliance team led by the Chief Compliance Officer in a highly collaborative atmosphere. The position is full-time, based in Chicago, with less than 10% travel. Adhere to FINRA Rule 3110 requires a firm to establish and maintain a system to supervise the activities of its associated people that is reasonably designed to achieve compliance with the applicable securities laws and regulations and FINRA rules.

Competitive Compensation + bonus based on experience.  $80 - $100K

Responsibilities include:

• Review and enforce the firms Written Supervisory Procedures and Compliance initiatives.
• Manage Firm’s Onboarding Training Program for compliance with new hires
  • Schedule new hire training
  • Assist in administering firm annual training and advisor attestations
  • Schedule targeted training as required
• Foster a culture of compliance
• Document supervisory activities
• Review advisors purchase and sales blotter
• Review advisors communications to (and from) clients
• Review/report customer complaints to CCO
• Assist in conducting Branch Exams
• Assist in review and follow up with exception reports generated by Compliance which require action from supervisors

Qualifications

• Bachelor’s degree or experience equivalent
• FINRA Series 7 and FINRA Series 24 required
• 3 – 5 years relevant experience at RIA and BD or industry regulator
• Working knowledge of the Investment Advisers Act, the Investment Company Act, and related regulatory requirements; application of SEC rules
• Familiarity with RBC and Schwab back-office a plus

 

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