Director Wealth Management Supervision

Director – Wealth Management Supervision

Company Overview

• Our client is an established financial services organization with a substantial wealth management business serving high-net-worth individuals, families, and other private clients. The organization offers a stable platform, sophisticated client base, and collaborative environment across its advisory, operations, risk, legal, and compliance functions.
• Chicago Suburbs – Fully Onsite
• $$: 160,000-190,000 base + 25% bonus
• Comprehensive benefits package and employee programs

Why This Opportunity

• Take meaningful ownership of supervisory activities within an established wealth management platform
• Work closely with Financial Advisors and senior stakeholders across the organization
• Broad position combining advisor supervision, client-account oversight, operational controls, and regulatory compliance
• Exercise independent judgment when evaluating supervisory and regulatory matters
• Gain exposure to examinations, audits, regulatory requests, and remediation initiatives
• Help enhance supervisory procedures, documentation, controls, and training
• Highly visible opportunity for an experienced wealth management supervision professional seeking increased responsibility and scope

Key Responsibilities

• Provide supervision and oversight of Financial Advisors and other registered personnel
• Review client-account activity, transactions, documentation, and other advisor-related activity
• Ensure required supervisory reviews, approvals, and records are completed appropriately
• Apply the firm's supervisory policies and procedures and maintain appropriate documentation
• Identify potential regulatory, suitability, conduct, documentation, or operational concerns and escalation matters when appropriate
• Provide guidance to business partners regarding applicable regulatory and internal requirements
• Partner with compliance, legal, operations, risk, and business leadership on supervisory matters
• Assist with examinations, audits, regulatory requests, and remediation efforts
• Coordinate supporting documentation and responses for internal and external reviews
• Monitor relevant regulatory developments and assist with enhancements to policies, procedures, controls, and training
• Maintain appropriate records demonstrating completion of supervisory responsibilities
• Develop productive relationships with Financial Advisors while maintaining appropriate independence and oversight

Qualifications

• Appropriate FINRA supervisory registration required
• Significant experience within wealth management supervision, compliance, branch oversight, risk, or another closely related regulated financial services function
• Experience within wealth management, brokerage, investment advisory, private banking, or a similar financial services environment preferred
• Strong understanding of regulations and supervisory requirements applicable to Financial Advisors and client accounts
• Experience reviewing advisor activity, transactions, client documentation, and supervisory records
• Familiarity with written supervisory procedures and regulatory documentation requirements
• Ability to independently evaluate issues and make well-supported supervisory decisions
• Strong professional presence with the ability to communicate and enforce standards constructively
• Excellent written communication, organizational skills, discretion, and attention to detail
• Additional securities registrations may be required depending on the individual's responsibilities