Do you enjoy putting pieces together to know the bigger picture and partnering to solve complex issues? If so, there is an exciting career opportunity waiting for you in our Field Supervision Department!

Description: The Field Supervision Department plays a critical role in achieving the Compliance Division's purpose of promoting our client's best interests and options by partnering to improve our culture of compliance and enable the best experience for all. Our associates are our greatest asset, and the opportunity to increase our client impact is directly related to our success in attracting, retaining, and developing a talented and diverse workforce.

Field Supervision Directors are registered with FINRA as designated supervisory principals to enforce firm and regulatory compliance rules and policies over assigned branch offices. Compliance Field Supervisors utilize extensive electronic processing systems and exception reports to complete the supervision of and prov...