FINRA Supervisory Specialist Senior - Wealth Management (Senior & Non-Senior Roles)
Veracity
Client Supervisory Specialist Senior – Wealth ManagementLocation: United States - Alabama - Birmingham | United States - Florida - Jacksonville | United States - Florida - Miami | United States - Florida - Orlando | United States - North Carolina - Charlotte | United States - North Carolina - Raleigh | United States - New Jersey - Cherry Hill | United States - Ohio - Columbus | United States - Texas - Bellaire | United States - Texas - Dallas | United States - Michigan - Ann Arbor | United States - Ohio - Cleveland | United States - Pennsylvania - Pittsburgh | United States - Arizona - Phoenix | United States - New Jersey – BridgewaterEmployment Type: Full-Time Work Model: In-OfficeClient is seeking experienced Client Supervisory Specialists to support supervision, trade review, surveillance, and compliance oversight activities for Financial Advisors and registered branches within assigned regions. The role is responsible for monitoring advisor activity, reviewing trades and new accounts, identifying risk trends, ensuring compliance with Client and securities regulations, conducting escalations, supporting complaint resolution, and mentoring advisors and team members. Senior-level candidates will be expected to handle escalated Level 2 reviews, more complex cases, process improvement initiatives, and supervisory leadership responsibilities.Candidate Must-HavesActive Client Licenses (Series 7 + 24/9/10 + 66 or 63/65)Financial Services / Wealth Management ExperienceSupervisory or Compliance ExperienceTrade Review / Surveillance ExperienceRegulatory Compliance KnowledgeKey ResponsibilitiesSupervise Financial Advisors (FAs) and registered branch activitiesConduct trade reviews and new account reviewsReview surveillance alerts and identify trends/patternsEscalate and resolve supervisory or compliance concernsConduct Level 2 reviews and complex case analysisMonitor advisor/client activity for regulatory complianceReview communications, complaints, and documentationSupport complaint resolution and branch/hub auditsProvide coaching and compliance guidance to Financial AdvisorsConduct proactive training, onboarding, and mentorshipCollaborate with Legal, Compliance, Risk, Operations, and Sales teamsSupport regulatory and risk management initiativesParticipate in process improvement and supervisory projectsUpdate procedures and assist with department initiativesRequired QualificationsEducationBachelor's Degree requiredEquivalent combination of education, certifications, and experience may be consideredRequired Client LicensesSeries 7Series 24 OR 9/10Series 66 OR (63 & 65)PreferredSeries 4Series 53 (preferred if candidate holds Series 24)Required Experience3+ years of relevant financial services / supervisory experienceExperience within wealth management, brokerage, or securities supervisionExperience reviewing trades, surveillance alerts, or new accountsStrong understanding of Client, SEC, and securities regulationsExperience working with Financial Advisors and branch supervisionRisk management and escalation handling experiencePreferred ExperienceWealth Management or Private Banking supervisionBranch examination/audit experienceComplaint resolution experienceSupervisory trend analysis and reportingProcess improvement/project leadershipLevel 2 supervisory review experienceSME experience across investment productsRequired SkillsClient SupervisionTrade ReviewSurveillance MonitoringRegulatory ComplianceRisk ManagementComplaint ResolutionWealth Management OperationsBranch SupervisionFinancial Advisor SupportCritical Thinking & Decision MakingTraining & MentorshipAttention to Detail
- ...relationships is at the heart of this role. As a key member of the Wealth Management team, this role partners closely... ...customized approach, this team of specialists helps clients identify long term... ...roles.Certifications:Series 07 - FINRA, Series 66 - FINRACategory:Relationship...SeniorFull time
Fidelity Investments
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University of Michigan
Ann Arbor, MI6 days ago - ...Senior Commercial Relationship Manager Angott Search Group is pleased to partner with a Michigan-based community... ...Relationship Manager. This role is responsible for generating new commercial... ...through loans and related credit and non-credit products. Key Responsibilities...Senior
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