Supervision Principal

Wedbush Securities is one of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime Services divisions. Headquartered in Los Angeles, California with over 100 offices and more than 80 correspondent offices, our commitment to providing relentless, customized service is the foundation of our consistent growth.

Wedbush Futures is one of the largest capitalized non-bank Futures Commission Merchants (FCM) in the United States. Wedbush Futures delivers key brokerage, technology and infrastructure services backed by excellent customer service and 24-hour tech support for sophisticated traders. Our team is looking to hire a Supervision Principal that supports the Chief Compliance Officer and Head of Business Supervision for Wedbush’s Futures division.

Responsibilities include, but are not limited to:

• Assist the Head of Business Supervision in the oversight of business activities, including managing the firm’s risk management program, review of sales solicitation materials, and regulatory audit responses
• Provide answers to requests for information from exchanges and regulators
• Review, audit, and assist with maintenance of the firm’s policies and procedures
• Conduct reviews of supervisory procedures to confirm their sufficiency for compliance
• Possess and employ knowledge of current regulatory environments to ensure the Firm is taking every measure to stay in compliance with all regulatory rules
• Serve as backup to the Head of Market Surveillance to monitor customer trading activity and review of all business communication
• Perform other duties as required and assigned

• Bachelor’s Degree in Business or technology-related field from an accredited university required
• 2-5 years of relevant experience
• FINRA Series 3 license preferred
• Proficient with MS Office Suite, strong in Excel
• Facility with market surveillance software
• Understanding of how derivatives markets work, including how, where and why they are traded and settled
• Ability to analyze and interpret market and regulatory rules
• Experience with accounting and working with financial data
• Highly organized and able to multi-task and manage multiple projects and competing priorities without sacrificing accuracy or efficiency
• Strong communication and writing skills with the ability to communicate effectively across various departments and levels of the organization

The reasonable estimate of the compensation range for this role has not been adjusted for the applicable geographic location. A reasonable estimate of the current hiring range is $81,000-$116,000. Colleagues may be eligible for additional, discretionary incentive compensation based on the individual and the firm's performance. At Wedbush, it is not typical for an individual to be hired at, or near, the top of the range for their role. Decisions regarding compensation are determined on a case-by-case basis and are dependent on a variety of factors including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs.

Wedbush Securities (WS) is proud to be an Equal Employment Opportunity employer. WS does not discriminate based on race, religion, color, creed, sex, sexual orientation, gender, gender identity or expression, national origin, ancestry, citizenship status, registered domestic partner status, uniform service member status, marital status, pregnancy, age, medical condition, disability, genetic information, family care or medical leave status, or any other consideration made unlawful by applicable federal, state, or local laws, or on the basis that an applicant or Colleague is perceived to have these characteristics or is associated with someone who is perceived to have these characteristics. WS aims to foster a culture of inclusion where all Colleagues are valued for their unique contributions to the firm as well as provided equal opportunities to succeed.

Wedbush uses E-Verify, an Internet-based system, to confirm the eligibility of all newly hired employees to work in the United States. Learn more about E-Verify, including your rights and responsibilities here https://www.e-verify.gov/employees/e-verify-overview
From: Wedbush Securities