Calton & Associates, Inc. is currently seeking an experienced Supervision Manager to join our team in Tampa, FL.

Calton & Associates, Inc. Overview

Calton & Associates is an independent broker-dealer, RIA, and insurance agency headquartered in Tampa, FL. We support a nationwide network of financial advisors with the operational infrastructure, compliance oversight, and technology they need to serve clients at the highest level. Our culture is built on the belief that a strong, connected team — one that supports each other at every level — is the foundation of everything we do.

Position Summary

We are seeking an experienced and proactive Supervision Manager to lead and strengthen our firm’s supervision team and supervisory infrastructure across broker-dealer, RIA, and municipal securities operations. In this high-impact role, you will be responsible for the day-to-day supervision of registered principals and registered representatives, oversight of branch and OSJ activities, and the enforcement of Written Supervisory Procedures (WSPs) in full compliance with FINRA, MSRB, and SEC regulations. The ideal candidate holds active Series 7, 24, and Series 66 (or 63 + 65) licenses, and is willing to obtain the Series 4 and Series 53 licenses within a Six months of joining Calton.

Position Responsibilities

Supervisory Oversight & Daily Operations

• Exercise General Securities Principal authority (Series 24) to supervise Home Office registered principals and registered representatives, including review and approval of new accounts, transactions, and correspondence
• Conduct real-time and post-trade surveillance of securities transactions, identifying and escalating potentially problematic activity or regulatory exceptions
• Review and approve customer communications, marketing materials, and sales literature for regulatory compliance
• Maintain and enforce the firm’s Written Supervisory Procedures (WSPs), updating them regularly to reflect regulatory changes
• Supervise and mentor Supervision staff and registered representatives on supervision matters

Branch & OSJ Inspection Program

• Plan and execute a risk-based schedule of branch office and OSJ inspections in accordance with FINRA Rule 3110 requirements
• Document inspection findings, assign corrective actions, and track remediation to completion
• Evaluate and rate branch supervisory controls; escalate significant deficiencies to senior management
• Serve as primary point of contact for branch managers and registered representatives on escalated supervisory questions

Options & Municipal Securities Supervision

• Upon obtaining Series 4, assume Registered Options Principal responsibilities including supervision of options account approvals, strategies, and suitability determinations
• Upon obtaining Series 53, exercise Municipal Securities Principal authority to supervise municipal securities activities in compliance with MSRB rules
• Partner with product desk heads to ensure supervisory controls are in place during the license acquisition period

Regulatory Liaison & Examination Support

• Assist in the coordination and management of FINRA, SEC, and MSRB regulatory examinations, inquiries, and sweep letters
• Prepare supervisory documentation, exception reports, and supporting materials for regulatory submissions
• Collaborate with the Compliance team on the design and rollout of supervisory controls for new products and business lines

Training & Culture

• Design and deliver supervisory training programs for branch managers, OSJ principals, and registered representatives
• Foster a strong culture of supervision and accountability across the firm’s distribution network
• Mentor junior supervision staff and provide coaching on best practices and regulatory expectations

Qualifications

Required Licenses:

• Series 7 (Required): General Securities Representative — broad authorization to transact in equities, fixed income, options, and other securities.
• Series 24 (Required): General Securities Principal — supervisory authority over registered representatives, branch operations, and firm activities.
• Series 66 (Required*): Uniform Combined State Law — covers agent and investment adviser representative functions. *Acceptable in lieu of Series 63 + Series 65.
• Series 63 + 65 (Alternative): Acceptable alternative to the Series 66.
• Series 4 (Willing to Obtain): Registered Options Principal — firm provides full exam prep support and scheduling assistance.
• Series 53 (Willing to Obtain): Municipal Securities Principal — required to supervise municipal securities activities. Firm provides full exam prep support.

Note: Candidates who already hold the Series 4 and/or Series 53 will be given strong preference in the selection process.

Education & Experience

• Bachelor’s degree in Finance, Business, Economics, Law, or a related field required; advanced degree a plus
• Minimum 5–7 years of experience in a supervisory or compliance role within a FINRA-regulated broker-dealer and a Registered Investment Adviser.
• Demonstrated hands-on experience conducting branch inspections and OSJ reviews under FINRA Rule 3110
• Working knowledge of FINRA rules, SEC regulations, MSRB rules, and applicable state securities laws
• Experience with options supervision (Series 4) or municipal securities supervision (Series 53) highly desirable

Skills & Competencies

• Strong supervisory judgment with the ability to identify risk, escalate appropriately, and drive resolution
• Strong leadership skills; ability to build strong cohesive teams
• ability to coach and develop others
• Excellent written and verbal communication skills; able to deliver clear guidance to branch personnel and management
• Proficiency with trade surveillance and exception reporting platforms (e.g., NICE Actimize, Sievert, or similar)
• Experience with FINRA’s WebCRD system for U4/U5 filings and registration management
• High ethical standards, integrity, and a collaborative working style
• Strong project management and organizational skills with the ability to manage multiple priorities simultaneously

Compensation and Benefits

• Base salary
• Annual Performance Bonus
• Company 401(k) and matching program
• Medical coverage
• Dental coverage
• Vision coverage
• Exam prep, study materials, FINRA and IAR CE support

Location: Tampa, FL – Onsite
Reports to: Chief Compliance Officer
Schedule: Mon-Fri, 8:30 AM – 5:00 PM
FLSA Status: Exempt, Full Time

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