Senior Supervision Officer

Compliance Supervisor

We're looking for an engaging and knowledgeable professional with deep expertise in securities industry rules and regulations. In this role, you'll oversee the daily activity of Financial Advisors and Private Wealth Management (PWM) branch associates in accordance with our firm's written supervisory procedures, helping ensure a strong culture of compliance, accountability, and client-first decision making.

You'll build trusted relationships with PWM Branch Managers and Corporate Resource Groups (CRG), serving as a key partner. You'll provide expertise in discovering, escalating, resolving and following-up on issues and frequently identified patterns of behavior that required additional research and surveillance.

Success in this role comes from your ability to communicate with clarity, navigate complex and sensitive situations with confidence, and collaborate across teams to deliver practical, thoughtful solutions. You'll serve as a subject matter expert in securities laws, regulations, products, and ethical standards, helping teams succeed while upholding the highest standards of integrity.

Oversee daily supervision of product and service offerings, leveraging tools and expertise to identify, escalate, resolve, and follow up on issues. Responsible for thorough investigation, documentation, and timely resolution.

Enforce the firm's written supervisory policies and procedures, continually assess them to identify improvement opportunities and work with the Compliance and other CRG Departments to enhance them.

Primary point of contact on more complex and sensitive issues and escalations from assigned Branch Managers

Proactive education of field associates and policies & procedures in the areas of Compliance & Supervision.

Work as a partner to the field by helping advisors and branch teams navigate supervisory requirements in a practical, solutions-oriented way that supports the business while maintaining firm and regulatory standards.

Travel to assigned PWM branches (<25%)

Handle escalations from PWM Supervision Officers regarding complex and sensitive issues.

Expert in utilizing compliance desktop tools and driving improvement opportunities.

Participate in or lead projects as required.

A minimum of 5 years of experience in brokerage/investment advisor compliance, supervision and/or operations role.

FINRA SIE, Series 7, 9, 10 and 66 registrations (or equivalent) and life/health license.

Expert on the laws, regulations, products and ethical standards of the securities industry.

Superior oral and written communication skills and experience resolving sensitive issues with composure and a partnership mindset

Demonstrated problem solving skills and ability to drive changes to policy, procedures, systems and processes as issues are identified.

Proven ability to work in a geographically dispersed organization.

Driver of continuous improvement

Positive attitude, enthusiastic about working in compliance and regulated environment

Bachelor's degree in Business, Finance, or Accounting or equivalent combination of work experience and schooling is required.