Agency Supervisory Officer; ASO

Baystate Financial, a Premier Financial Services organization in New England and beyond, is seeking an experienced Agency Supervisory Officer (ASO) to join our leadership and compliance team. Various locations possible in the Southern New England area. This role is central to maintaining a strong supervisory framework, ensuring adherence to regulatory standards, and supporting the success of our registered representatives. You’ll serve as a key resource for oversight, guidance, and escalation across our agency.

• Provide day‑to‑day supervision of registered representatives in accordance with FINRA, SEC, and firm policies.
• Review and approve communications with the public.
• Conduct periodic audits, inspections, and risk assessments for assigned branches.
• Monitor sales practices to ensure suitability, proper documentation, and regulatory compliance.
• Serve as a subject‑matter expert on supervisory procedures, compliance requirements, and industry best practices.
• Investigate and resolve escalated issues, customer complaints, and potential violations.
• Deliver training and coaching to representatives and managers on compliance expectations and supervisory standards.
• Collaborate with Compliance, Operations, and Field Leadership to strengthen supervisory controls and support business growth.
• Maintain accurate records and prepare reports for internal review and regulatory inquiries.

• Active FINRA Series 24 license required.
• Additional licenses such as Series 7, 63 and 65, or 66, and 53 preferred.
• 3–5+ years of supervisory, compliance, or field leadership experience within a broker‑dealer or financial services environment.
• Strong understanding of FINRA/SEC regulations, supervisory controls, and sales practice standards.
• Excellent analytical, communication, and decision‑making skills.
• Ability to manage multiple priorities while maintaining accuracy and regulatory integrity.
• High level of professionalism, discretion, and ethical judgment.

• Competitive compensation and performance incentives.
• A collaborative culture with opportunities for advancement.

• 401(k)
• Health insurance
• Paid time off
• Vision insurance

Please submit your resume and a brief cover letter.

Equal Opportunity and 3.5

We will never ask job candidates to pay any kind of fee, make cash or check advancements, cash checks or make an investment in any product or service or provide information such as credit card numbers or banking PIN numbers as part of our hiring process.

If you are contacted by anyone asking for information outlined above it is likely fraudulent. If you have any concerns about the veracity of a request, please contact us directly to verify its legitimacy.

Work Location:

Hybrid remote in Boston, MA 02210