VP, Wealth Management Products & Trading Supervision

Full Time

Financial Services Client

Office Status: Hybrid (2-3 days per week in office)

Salary: $100,000 – $120,000


  • Manage supervision activities to meet regulatory requirements and maintain service level standards and is responsible for monitoring, supervising, adherence to Written Supervisory Procedures (WSPs) across the Wealth Management division’s fixed income trading desks (municipal securities, corporate, treasury, and securitized products) and supervise certain aspects of the Wealth Management division’s equity and options activity on behalf of its clients
  • Oversee supervisory responsibilities including transaction reporting (e.g., CAT, TRACE and RTRS), review and approval of disclosures/confirms for accuracy and compliance with regulatory requirements for equity, municipal retail trading businesses, as well as mutual funds and variable products
  • Review daily trading exception reports, market access controls for fixed income trading desks, best execution review for fixed income securities and equity securities and escalating/resolving any exceptions.
  • Offer supervisory advice to executive-level stakeholders and other supervisors within the Wealth Management division
  • Establish objectives and develop WSPs and Desktop Procedures to ensure alignment with Firm policies
  • Ensure accuracy and integrity of monthly supervisory checklists and quarterly risk assessment reports to business unit leaders to ensure there are no breaches in supervision
  • Manage the delivery and execution of annual and periodic updates on supervisory issues to the Firm’s senior management team
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