Director of Supervision
DiversifySandy, Utah, United States
Posted December 16, 2025
Full Time
About the Company
Diversify Advisor Network is the future of wealth management, with a family-like culture, institutional platform, and immersive experience.
Job Description
The Director of Supervision plays a critical leadership role in safeguarding the regulatory integrity of a dual-registrant financial services firm, overseeing a comprehensive supervisory infrastructure to ensure compliance with all applicable rules, regulations, and firm policies.
Requirements
- Minimum of 5 years in brokerage and/or advisory supervision, compliance, or risk management within a dual registrant or hybrid RIA/BD firm.
- Proven experience managing teams and interacting with advisors and senior leadership.
- Demonstrated expertise in FINRA, SEC, and state regulatory frameworks including rules related to supervision, sales practices, disclosures, and fiduciary standards.
Benefits
- Medical with HSA and FSA options
- Dental
- Vision
- 401(k) with a generous company match
- Access to a personal financial planner
- Unique investment options
- 4 weeks paid time off
- 12 paid holidays
- 2 days for giving back