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 a market supervisory officer to:
• drive initiatives related to sales supervision, compliance and business risk, including implementation and education
• manage review of various supervision processes
• support branches in the Branch Review and Group Internal Audit processes, 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.
Your expertise
• ideally 5+ 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
• reliable when working independently, with sound judgment for when to escalate issues
• quickly adaptable to changing market situations, technology and business needs
