Compliance & Risk Supervisor — Financial Services

Jobtailor; Minnesota; On-site; USD 85,000 - 135,000; Full time

Job summary

Jobtailor in Minnesota seeks a Compliance Supervisor to oversee suitability reviews for new accounts within Private Client Group and Wealth Brokerage Services.

You will design risk processes, conduct compliance reviews, and collaborate with branch managers and advisors to ensure adherence to regulatory and firm policies while managing multiple projects with independence. The position requires FINRA licensing and strong analytical and communication skills.

Qualifications

• 6+ months of Supervisory Control, Risk Management, Insurance or related experience.
• FINRA Series 7 and 63 examinations completed or equivalent qualifying for registration
• FINRA supervisory license required
• FINRA Series 9/10 and 65/66 registrations to be completed within 90/180 days if not transferable
• Appropriate FINRA licenses must be maintained for employment
• Not eligible for visa sponsorship
• Strong analytical skills and communication abilities
• Ability to work independently and balance multiple projects

Responsibilities

• Supervise suitability reviews for new accounts in Private Client Group and Wealth Brokerage Services.
• Conduct compliance, supervision, control reviews, and related activities.
• Design risk processes and provide project management support.
• Identify issues and provide resolutions within Insurance or Private Client Groups.
• Perform ongoing regulatory, compliance, and operational reviews.

Skills

Analytical Skills

Conflict Management

Decision-Making Skills

Interpersonal Communication

Creative Problem-Solving

Education

FINRA Series 7

FINRA Series 63

FINRA Supervision License

FINRA Series 9/10

FINRA Series 65/66

Tools

Microsoft Office

Compliance Technology Tools

Job description

Jobtailor in Minnesota seeks a Compliance Supervisor to oversee suitability reviews for new accounts within Private Client Group and Wealth Brokerage Services.

You will design risk processes, conduct compliance reviews, and collaborate with branch managers and advisors to ensure adherence to regulatory and firm policies while managing multiple projects with independence. The position requires FINRA licensing and strong analytical and communication skills.