A Highly regarded Wealth Management firm seeks a Supervisory Director to work directly with the COO assisting with day to day regulatory compliance responsibilities relating to required daily supervision of all Wealth Advisor teams across our Northern Suburb & Chicago locations. Tasks include new accounts approvals, trade execution monitoring, and internal reviews/inquiries.
(HYBRID: 3/2: Northern Chicago Suburbs)
Responsibilities
- Reviewing new account paperwork and other standard account requests for suitability, appropriateness and completeness, and providing supervisory Principal approval for processing.
- Developing procedures WSPs for operational processes for Wealth Advisors
- Monitoring and reviewing daily trading activity.
- Reviewing pre-trade and post-trade compliance exception reporting,
- Reviewing email correspondence for conflicts of interest or prohibited behavior.
- Acting as liaison to Securities Processing to ensure efficiencies,
- Maintaining knowledge of NFS and Schwab policies affecting Wealth Advisors workflow
- Collaborating with Legal/Compliance Department members regarding various compliance inquiries, including AML, suitability, and other compliance issues.
- Reviewing and providing pre-approval for employee personal financial transactions, working to identify any conflicts of interest.
- Reviewing advertising and client presentation material for compliance with applicable rules and regulations.
Requirements
- Bachelor’s degree in Finance or related discipline (strongly preferred).
- 6-10 years relevant financial services industry experience.
- FINRA Series 7, 66, & 9/10 or 24 licensed
- Strong working knowledge of SEC and FINRA regulations
Wealth Management - Supervisory Director. in chicago at Unknown Company
This position is listed as full time and hybrid.