Supervisory Control Specialist
Core
Ensures readiness, accuracy, and strong control execution for oversight and testing activities (Internal Audit, Branch Exams, IT&V) within Wealth & Investment Management.
Role type
Senior IC compliance and risk control specialist
Builds
Internal controls, risk management frameworks, and regulatory reporting for private client groups
Domain
Financial services / Wealth Management / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
FINRA Series 7, 9/10, 63, 66 registration; Risk management; Control testing; Regulatory policy analysis; Data analysis; Process improvement
Preferred skills
Asset movement knowledge; Governance oversight; Testing strategy evaluation; Client account dashboard experience
Technologies
Client account dashboards; Reporting tools
Responsibilities
Review and analyze controls for high-risk investment strategies; Gather and analyze data to identify trends; Present recommendations for resolving complex analysis; Collaborate with Financial Advisors and Branch Managers; Evaluate resources to monitor risk and guide process changes
Seniority
Mid-level, hands-on IC