Branch Supervision Specialist, Private Wealth
Core
Ensures regulatory compliance and supervises branch operations for affluent and high-net-worth clients in private wealth management.
Role type
Senior compliance and branch supervision specialist
Builds
Regulatory compliance frameworks and supervised branch operations
Domain
Financial services / Private Wealth Management
Required skills
Regulatory compliance knowledge, Supervision of investment advisors, Trade transaction approval, Risk management, Strategic analysis, Training program development, Stakeholder management, Data analysis, Policy implementation, Escalation management
Preferred skills
Chartered Investment Manager (CIM) or Chartered Financial Analyst (CFA) designation
Technologies
Global Relay, Gateway, Meridian, CIRO systems
Responsibilities
Evaluate branch supervision effectiveness and develop improvement plans, Conduct independent analysis to resolve strategic issues, Provide approvals for account and trade transactions, Perform regulatory reviews (email, trade, activity reports), Manage registration requirements for regulators, Lead design and implementation of core business processes, Act as escalation point for supervision issues
Seniority
Mid-Senior, hands-on IC