Senior Advisor, Supervision Banking & Lending
Core
Supervise margin lending and securities-based lending (SBL) activities, review complex lending scenarios and collateralized relationships, and ensure regulatory compliance while supporting responsible business growth.
Role type
Senior IC supervision specialist (banking & lending)
Builds
Supervisory practices and risk mitigation strategies for client borrowing and collateral arrangements
Domain
Financial services, banking, lending, securities regulation
Required skills
Pattern recognition in lending transactions, regulatory interpretation, risk identification, professional communication, data analysis, stakeholder partnership
Preferred skills
Series 7, 9, 10, 63 licenses, Series 24 or 66 alternatives, industry regulation expertise
Technologies
N/A
Responsibilities
Investigate complex margin and securities-based lending activities, review client borrowing and collateral arrangements, interpret regulatory requirements, identify potential risks, influence business outcomes, shape supervisory practices
Seniority
Senior, hands-on IC
