FINRA Supervisory Specialist Senior - Wealth Management (Senior & Non-Senior Roles)

Role: Client Supervisory Specialist Senior - Wealth Management (Senior & Non-Senior Roles)
Location: 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 - Bridgewater
Employment Type: Full-Time
Work Model: In-Office
Client 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-Haves

• Active Client Licenses (Series 7 + 24/9/10 + 66 or 63/65)
• Financial Services / Wealth Management Experience
• Supervisory or Compliance Experience
• Trade Review / Surveillance Experience
• Regulatory Compliance Knowledge

Key Responsibilities

• Supervise Financial Advisors (FAs) and registered branch activities
• Conduct trade reviews and new account reviews
• Review surveillance alerts and identify trends/patterns
• Escalate and resolve supervisory or compliance concerns
• Conduct Level 2 reviews and complex case analysis
• Monitor advisor/client activity for regulatory compliance
• Review communications, complaints, and documentation
• Support complaint resolution and branch/hub audits
• Provide coaching and compliance guidance to Financial Advisors
• Conduct proactive training, onboarding, and mentorship
• Collaborate with Legal, Compliance, Risk, Operations, and Sales teams
• Support regulatory and risk management initiatives
• Participate in process improvement and supervisory projects
• Update procedures and assist with department initiatives

Required Qualifications

Education

• Bachelor's Degree required
• Equivalent combination of education, certifications, and experience may be considered

Required Client Licenses
Candidates must possess:

• Series 7
• Series 24 OR 9/10
• Series 66 OR (63 & 65)

Preferred

• Series 4
• Series 53 (preferred if candidate holds Series 24)

Required Experience

• 3+ years of relevant financial services / supervisory experience
• Experience within wealth management, brokerage, or securities supervision
• Experience reviewing trades, surveillance alerts, or new accounts
• Strong understanding of Client, SEC, and securities regulations
• Experience working with Financial Advisors and branch supervision
• Risk management and escalation handling experience

Preferred Experience

• Wealth Management or Private Banking supervision
• Branch examination/audit experience
• Complaint resolution experience
• Supervisory trend analysis and reporting
• Process improvement/project leadership
• Level 2 supervisory review experience
• SME experience across investment products

Required Skills

• Client Supervision
• Trade Review
• Surveillance Monitoring
• Regulatory Compliance
• Risk Management
• Complaint Resolution
• Wealth Management Operations
• Branch Supervision
• Financial Advisor Support
• Critical Thinking & Decision Making
• Training & Mentorship
• Attention to Detail

Recruiter Submission Template

Full Name:
Bachelor's Degree (University + Completion Year):

Client Licenses
Series 7 License: (Yes/No - License Number if applicable):
Series 24 OR 9/10 License: (Yes/No - Details):
Series 66 OR 63/65 License: (Yes/No - Details):
Series 4 / 53 (Preferred): (Yes/No - Details):


Total Financial Services Experience:
Total Supervisory / Compliance Experience:
Total Wealth Management Experience:
Do you have experience supervising Financial Advisors and registered branches? Please explain:
Describe your trade review and surveillance review experience:
Experience handling escalations, complaint resolution, or Level 2 reviews:
Describe your Client / SEC regulatory compliance experience:
Experience reviewing new accounts and advisor activity:
Experience conducting audits, branch reviews, or risk assessments:
Have you worked in Wealth Management, Brokerage, or Private Banking environments? Please explain:
Experience providing coaching, mentorship, or training to Financial Advisors:
Describe your experience with supervisory trend analysis and reporting:
Experience collaborating with Legal, Compliance, Risk, and Operations teams:
Are you comfortable working full-time in-office? (Yes/No):
Preferred Location:
Motivation / Reason for Relocation (if not local):
Motivation / Reason for interest in this position:
Contact Number:
Email ID:
LinkedIn Profile URL:
Full Address (Street, City, State, Zip Code):
Notice Period (in weeks):
Current Work Authorization Status:
Expected Salary:
Are you able to relocate on your own expenses and work 100% ON-SITE in 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 - Bridgewater?