Supervision Principal, Wealth Management Products And Trading

Full Time

Broker-Dealer Client

Office Status: Remote

Salary: $100,000 – $120,000


  • Drive supervision activities to meet regulatory requirements and maintain service level standards and monitoring and supervising activity to adherence to Written Supervisory Procedures (WSPs) across the Wealth Management division
  • Offer supervisory advice to independent and retail stakeholders, including branch managers, advisors and regional leaders
  • Contribute to the updating and maintenance of WSPs and Desktop Procedures to ensure alignment with Firm policies
  • Contribute to the creation and maintenance of monthly supervisory checklists and quarterly risk assessment reports to business unit leaders to ensure there are no breaches in supervision
  • Serve as a point of contact for Wealth Management supervision for supervision topics
  • Collaborate with Compliance and Supervision partners to help implement supervisory processes in response to regulatory developments and industry best practices, recommend policy, develop and update process and/or control changes/enhancements to existing processes
  • Assist the Firm’s Legal department and Compliance department with regulatory responses as well as internal and external audits
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