Supervisory Manager
Core
Centralize oversight of regulatory reviews and business approvals across Private Wealth offices while supporting risk management efforts.
Role type
Supervisory Manager (Private Wealth Operations & Compliance)
Builds
Operational, business, and client risk oversight frameworks for Private Wealth offices
Domain
Financial Services / Private Wealth Management
Deliverable
production ML models | product features | dashboards & analysis | client delivery | infrastructure | physical/clinical work
Required skills
Regulatory review, transaction supervision, compliance policy interpretation, error resolution, account transition management, cross-functional liaison
Preferred skills
Series 9, Series 10, Series 24 licenses
Technologies
Proprietary investment platforms, compliance management systems
Responsibilities
Supervise operational, business, and client risk in partnership with Managers and Managing Directors; Review and approve written correspondence including social media communications and emails; Manage and distribute department-wide communications and quality control reports; Partner with leadership on resolution of errors and complaints; Lead account transition efforts when necessary; Liaise with other business units to drive client results
Seniority
Mid-level Manager, hands-on operational oversight