Supervisory Principal at BTG Pactual in Miami, FL

 

 

Position overview

We are seeking a Supervisor to support the Head of Supervision and oversee day‑to‑day supervisory activities across retail and institutional business lines. This role is critical to maintaining a strong control environment, ensuring regulatory compliance, and supporting the firm’s operational growth.

The Supervisor partners closely with Compliance, Legal, Business, and Operational Risk teams, and serves as a key point of contact with regulators, auditors, consultants, and clearing partners.

The ideal candidate has experience in supervision or compliance within a U.S. broker‑dealer environment, is detail‑oriented, collaborates effectively across teams, and contributes to process‑improvement and automation initiatives that enhance controls, streamline workflows, and increase scalability across supervision and monitoring functions.

Required Qualifications

•  Excellent written and verbal communications skills and an ability to interact effectively with internal and external stakeholders, including investment committee members, clients, partners, and others
• A  creative, entrepreneurial spirit and an ability to thrive in a meritocratic workplace
• Excellent critical thinking and problem solving skills
• An ability to execute across a wide range of tasks, including long-term strategic initiatives
• Ability to work both independently and within a team, to effectively prioritize and manage multiple projects simultaneously, and deliver against specific workplans and timelines
• A passion for sustainability, real assets investing and the development of innovative, high-impact natural climate solutions
• Bachelor’s degree or equivalent

 

Required Qualifications

• Conduct daily supervisory reviews, including trades, blotters, alerts, and sales practice activity.
• Ensure compliance with FINRA, SEC, and internal policies and procedures (WSPs).
• Review account activity to identify potential issues, trends, or exceptions.
• Perform best execution reviews, assessing pricing, execution quality, and venues.
• Support internal, external, and regulatory audits, including remediation efforts.
• Assist with client complaints and error resolution and reporting.
• Maintain and update supervisory and desktop procedures.
• Support onboarding and review of new products and related training initiatives.
• Partner with Compliance, Legal, Operations, IT, and cross‑border teams.
• Prepare supervisory and risk reporting for management.
• Assist with projects, ad‑hoc initiatives, and technology enhancements within the supervision function.

 

Preferred Knowledge and Experience

• Bachelor’s degree in Finance, Business, Economics, or a related field.
• 3 years of experience within the financial services industry.
• Strong knowledge of U.S. securities regulation, including FINRA and SEC rules.
• Exposure to futures, options, and other derivatives is a plus.
• Solid understanding of broker‑dealer operations (trading, clearing, settlement, onboarding).
• Strong analytical, organizational, and communication skills.
• Ability to work collaboratively in a fast‑paced environment.
• Proficiency with trading platforms, internal systems, and Microsoft Office.
• FINRA licenses required: Series 7, 24, and 63. Candidates not currently registered must obtain the Series 7 and 63 within six (6) months of hire. Series 4 and/or Series 3 preferred.
• Fluency in English required; Portuguese and Spanish are a plus.

Salary Range - 140k-160k USD base salary.