Associate Director, Branch Oversight

ABOUT THE ROLE

We're looking for an experienced compliance leader to oversee a nationwide branch inspection function within a highly regulated financial services environment. This position is responsible for developing and executing a risk-based inspection strategy, leading a team of compliance professionals, and ensuring field offices operate in accordance with regulatory requirements and internal supervisory standards.

This individual will partner closely with senior compliance leadership to strengthen inspection processes, identify emerging risks, support regulatory readiness, and promote consistent supervisory practices across the organization.

What You'll Do

• Lead the overall strategy, execution, and ongoing enhancement of the branch inspection program.
• Develop risk-based inspection plans, including annual risk assessments and inspection schedules.
• Direct routine and targeted reviews of branch offices, supervisory locations, and financial professionals based on business or regulatory risk.
• Manage the end-to-end inspection process, from planning and execution through reporting and follow-up.
• Review inspection results to ensure findings are appropriately documented, risk-rated, and remediated.
• Evaluate supervisory concerns, policy exceptions, and potential misconduct, escalating issues and recommending corrective actions when appropriate.
• Establish quality assurance standards that drive consistency, accuracy, and effectiveness across inspection activities.
• Lead, coach, and develop a team of inspection professionals while creating clear performance expectations and career growth opportunities.
• Partner with business leaders to provide regulatory guidance and practical compliance support.
• Assist with regulatory examinations, internal audits, and responses to oversight inquiries.
• Identify trends, emerging risks, and control gaps, providing recommendations to strengthen supervisory programs.
• Support updates to compliance policies, procedures, and inspection methodologies.
• Enhance reporting capabilities and inspection technology to improve efficiency, data quality, and program oversight.
• Deliver training and ongoing education to inspection staff and field personnel on regulatory expectations and supervisory responsibilities.
• Act as a trusted liaison between Compliance and field leadership to promote a strong culture of compliance.
• Participate in internal investigations and special compliance initiatives as needed.

Leadership Responsibilities

This position provides leadership for the branch inspection function, including oversight of senior examiners, examiners, quality assurance personnel, and future team growth. Responsibilities include hiring, coaching, performance management, workload planning, and developing a high-performing inspection organization.

QUALIFICATIONS

Education

• Bachelor's degree required.

Experience

• Minimum of eight years of compliance experience within the financial services industry.
• Three or more years of leadership experience managing teams in compliance, audit, inspection, or risk management.
• Prior experience conducting branch or field examinations within a broker-dealer or registered investment adviser environment is strongly preferred.

Required Licenses

• FINRA Series 7 and Series 24.

Knowledge & Skills

• Comprehensive understanding of SEC, FINRA, and state regulatory requirements governing broker-dealers and investment advisers.
• Working knowledge of investment and insurance products.
• Demonstrated ability to lead teams, influence stakeholders, and drive organizational change.
• Strong analytical and investigative skills with sound judgment and attention to detail.
• Excellent written, verbal, and presentation skills.
• Ability to manage multiple priorities in a fast-paced regulatory environment.
• Comfortable working independently while collaborating across business and compliance teams.
• Willingness to travel to field locations as needed.