Director, Wealth Management Oversight & Compliance

Connect Search, LLC; Illinois; On-site; USD 160,000 - 190,000; Full time

Benefits offered by this job

Comprehensive benefits package

Job summary

Connect Search, LLC seeks a Director – Wealth Management Supervision to lead supervisory activities for a prominent wealth management platform in the Chicago suburbs. You will supervise Financial Advisors, review client accounts, and ensure compliant, well-documented processes across advisory teams.

This onsite role offers significant responsibility, exposure to regulatory examinations, and collaboration with senior stakeholders.

Qualifications

• Appropriate FINRA supervisory registration required.
• Significant experience within wealth management supervision, compliance, branch oversight, risk, or related regulated financial services function preferred.
• Experience reviewing advisor activity, transactions, client documentation, and supervisory records.
• Strong understanding of regulations and supervisory requirements applicable to Financial Advisors and client accounts.

Responsibilities

• Provide supervision and oversight of Financial Advisors and other registered personnel.
• Review client-account activity, transactions, documentation, and other advisor-related activity.
• Ensure required supervisory reviews, approvals, and records are completed appropriately.
• Apply the firm's supervisory policies and procedures and maintain appropriate documentation.
• Identify potential regulatory, suitability, conduct, documentation, or operational concerns and escalation matters when appropriate.
• Provide guidance to business partners regarding applicable regulatory and internal requirements.
• Partner with compliance, legal, operations, risk, and business leadership on supervisory matters.
• Assist with examinations, audits, regulatory requests, and remediation efforts.
• Coordinate supporting documentation and responses for internal and external reviews.
• Monitor relevant regulatory developments and assist with enhancements to policies, procedures, controls, and training.
• Maintain appropriate records demonstrating completion of supervisory responsibilities.
• Develop productive relationships with Financial Advisors while maintaining appropriate independence and oversight.

Skills

Supervisory leadership

Regulatory knowledge

Attention to detail

Excellent written communication

Professional presence

Job description

Connect Search, LLC seeks a Director – Wealth Management Supervision to lead supervisory activities for a prominent wealth management platform in the Chicago suburbs. You will supervise Financial Advisors, review client accounts, and ensure compliant, well-documented processes across advisory teams.

This onsite role offers significant responsibility, exposure to regulatory examinations, and collaboration with senior stakeholders.