Wealth Management - Supervisory Director.
Howard-Sloan Search
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 #J-18808-Ljbffr Howard-Sloan Search
Vacancy posted 3 days ago
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