About this role
Role Overview
- Manage day-to-day supervisory, compliance and operational aspects of business
- Partner closely with Wealth Market Leader(s)
- Lead and develop supported Market(s)
- Implement business and firmwide control, supervisory and operational excellence initiatives
- Ensure timely and effective response to Compliance, Central Supervision and Audit
- Address and resolve escalated Supervisory inquiries
- Participate in New Hire interview process focusing on Compliance, Control, Supervisory and Operational concerns
- Manage all trade corrections in cooperation with Operations, Compliance and WMLs
- Assist in the resolution of customer complaints
Requirements
- Bachelor's Degree preferred
- 5+ years industry experience
- FINRA Series 7, 24 and 66 (or equivalent) required
- 3+ years of relevant supervisory experience in brokerage, annuity, advisory, banking and lending activity
- Strong knowledge of regulatory frameworks in Financial Services
- Strong Control and Operational experience
- Ability to travel 50% of the time
Benefits
- Health and well-being benefits
- Savings and retirement programs
- Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
- Banking benefits and discounts
- Career development opportunities
- Reward and recognition programs