Your role
Are you an expert on risk and supervision? Do you know how to make the right call in challenging situations?
We're looking for someone like this to:
• manage all hiring and personnel decisions, coach the supervisory team and provide training on supervisory tools, new compliance bulletins and operational procedures.
• manage review of various supervision processes
• drive initiatives related to sales supervision, compliance and business risk, including implementation and education
• support branches in the Branch Review and Group Internal Audit processes, visiting branches, and working on action plans for those with failed audits
• partner with Compliance, including providing input to policy and supporting communication of policies
• serve as a point of contact for issues that cannot be resolved, and escalate issues as required
Your team
You'll be working as part of Wealth Management Americas. We help high net worth and ultra-high net worth individuals and families meet their financial goals through financial advisors who deliver products and services specifically designed for them. You'll be a member of the Market Team, reporting directly to the Regional Supervisory Officer and working closely with the Market Executive. You'll lead a team of supervisory officers across your market, acting as a coach on all aspects of the role.
Your expertise
• ideally years of experience as a risk/supervisory manager, or other substantive leadership role with a leading financial institution
• series 7, 8 (or 9/10), 66 (or 63/65); insurance a plus
• track record of leadership, mentoring and coaching success
• great communicator (and you know how to handle challenging situations)
• reliable when working independently, with sound judgment for when to escalate issues
• quickly adaptable to changing market situations, technology and business needs
