Associate Director of Supervision
Location: Cleveland, Ohio
This role provides a supervision leadership seat with real ownership — and a front-row view of how a top network office runs.
The Opportunity
You’ll partner directly with the Director/Chief/MP to shape how supervision and risk management work across the Northern Ohio office — not just carry out someone else’s plan. You’ll own real judgment calls — reading risk in live situations, making the decision, and building the credibility with Financial Representatives that makes the decision stick. It’s a rare vantage point on the business and a proven path to broader field leadership.
Who we are
For years, we’ve helped families and businesses across Northern Ohio reach their financial goals. Our version of financial planning brings the right insurance and investment strategies together, so our clients can do the things that matter most, with the ones who matter most. We take the same approach with our people — you’ll be supported, developed, and guided every step of the way.
What You’ll Do
- Run on-site inspections, client file reviews, and compliance interviews with Financial Representatives and their teams
- Own the books and records for our Offices of Supervisory Jurisdiction, Registered Branch Offices, and field locations — keeping us audit-ready under FINRA requirements
- Be the go-to advisor for Financial Representatives and field staff on risk management, regulatory change, policy, and documentation
- Lead training that raises the compliance bar across the network office
The Impact You’ll Have
- Drive the office risk score down
- Increase client persistency across the office
- Build a culture where compliance is second nature
Qualifications
- Bachelor’s degree required in related field
- FINRA licenses – Series 7, 9, 10, 63 (required within 3 months); or could have Series 7, 24, 4, 53 and 63
- 3-5 years of experience in wealth management/compliance/audit role
- Some insurance and investment knowledge is ideal
- Critical thinking skills
- Exceptional interpersonal and communication skills, with the confidence to navigate tough conversations directly and professionally
- Detail-oriented, high integrity professional who is a lifelong learner. Willing to obtain additional certifications
- People-friendly personality with a positive approach to work
- Growth mindset is important
Compensation
- Base salary: $60,000 – $72,500, commensurate with credentials and experience
Benefits
- Health
- Vision
- Dental
- Retirement plan
- Paid time off
Growth Path
This person will have the ability to learn and develop in this role through becoming fully qualified through licenses. Long term this role could lead into a Director of Supervision or Growth and Development Director.
Work Environment
- In-office role: Monday – Friday, 8am – 5 pm
- Quarterly travel expectations: travel to 5 offices in Ohio and 3-5 offices for case file reviews (day trips)
- This role is a position where the incumbent is looking for a long-term career – ownership and commitment are important
Pay: $60,000.00 – $72,500.00 per year
Benefits:
- Dental insurance
- Health insurance
- Professional development assistance
- Retirement plan
- Vision insurance
Education:
- Bachelor’s (Preferred)
Experience:
- wealth management/financial services: 3 years (Preferred)
License/Certification:
- Series 24 (Required)
- Series 7 (Preferred)
Ability to Commute:
- Cleveland, OH 44113 (Preferred)
Willingness to travel:
- 25% (Preferred)
Work Location: In person