Audit Senior

Novogradac; Cleveland (OH); On-site; USD 90,000 - 120,000; Full time

Job summary

Novogradac seeks an experienced Client Supervisory Specialist Senior Wealth Management to support supervision, trade review, surveillance, and compliance oversight for Financial Advisors and registered branches across multiple regions. The role includes handling Level 2 reviews and mentoring teams.

Candidates should have 3+ years of supervisory experience in wealth management, brokerage, or securities, with active Series licenses and strong regulatory knowledge.

Qualifications

• Active supervisory or compliance experience is required.
• Regulatory compliance knowledge is essential.
• Experience overseeing wealth management, brokerage, or securities supervision.

Responsibilities

• Supervise Financial Advisors and registered branch activities.
• Conduct trade reviews and new account reviews.
• Review surveillance alerts and identify trends and patterns.
• Escalate and resolve supervisory or compliance concerns.
• Conduct Level 2 reviews and complex case analysis.
• Monitor advisor/client activity for regulatory compliance.
• Provide coaching and compliance guidance to Financial Advisors.
• Collaborate with Legal, Compliance, Risk, Operations, and Sales teams.

Skills

Supervisory experience

Regulatory compliance knowledge

Experience with Financial Advisors

Education

Series 7 Series 24/9/10 Series 66 or 63/65 licenses

Bachelor's degree

Job description

Client Supervisory Specialist Senior Wealth Management

Location: United States - Alabama - Birmingham | United States - Florida - Jacksonville | United States - Florida - Miami | United States - Florida - Orlando | United States - North Carolina - Charlotte | United States - North Carolina - Raleigh | United States - New Jersey - Cherry Hill | United States - Ohio - Columbus | United States - Texas - Bellaire | United States - Texas - Dallas | United States - Michigan - Ann Arbor | United States - Ohio - Cleveland | United States - Pennsylvania - Pittsburgh | United States - Arizona - Phoenix | United States - New Jersey Bridgewater

Employment Type: Full-Time Work Model: In-Office

Client is seeking experienced Client Supervisory Specialists to support supervision, trade review, surveillance, and compliance oversight activities for Financial Advisors and registered branches within assigned regions. The role is responsible for monitoring advisor activity, reviewing trades and new accounts, identifying risk trends, ensuring compliance with Client and securities regulations, conducting escalations, supporting complaint resolution, and mentoring advisors and team members. Senior-level candidates will be expected to handle escalated Level 2 reviews, more complex cases, process improvement initiatives, and supervisory leadership responsibilities.

Candidate Must-Haves

• Active Client Licenses (Series 7 + 24/9/10 + 66 or 63/65)
• Supervisory or Compliance Experience
• Regulatory Compliance Knowledge

Key Responsibilities

• Supervise Financial Advisors (FAs) and registered branch activities
• Conduct trade reviews and new account reviews
• Review surveillance alerts and identify trends/patterns
• Escalate and resolve supervisory or compliance concerns
• Conduct Level 2 reviews and complex case analysis
• Monitor advisor/client activity for regulatory compliance
• Review communications, complaints, and documentation
• Support complaint resolution and branch/hub audits
• Provide coaching and compliance guidance to Financial Advisors
• Conduct proactive training, onboarding, and mentorship
• Collaborate with Legal, Compliance, Risk, Operations, and Sales teams
• Support regulatory and risk management initiatives
• Participate in process improvement and supervisory projects
• Update procedures and assist with department initiatives

Education

• Bachelor's Degree required
• Equivalent combination of education, certifications, and experience may be considered

Required Client Licenses

• Series 7
• Series 24 OR 9/10
• Series 66 OR (63 & 65)

Preferred

• Series 4
• Series 53 (preferred if candidate holds Series 24)

Required Experience

• 3+ years of relevant financial services / supervisory experience
• Experience within wealth management, brokerage, or securities supervision
• Experience reviewing trades, surveillance alerts, or new accounts
• Strong understanding of Client, SEC, and securities regulations
• Experience working with Financial Advisors and branch supervision
• Risk management and escalation handling experience

Preferred Experience

• Wealth Management or Private Banking supervision
• Supervisory trend analysis and reporting
• Process improvement/project leadership
• Level 2 supervisory review experience
• SME experience across investment products