Senior Wealth Management Compliance Leader

Mesirow; Highland Park (IL); On-site; USD 130,000 - 185,000; Full time

Benefits offered by this job

Commission bonus

Performance bonus

Benefits package

Job summary

Mesirow is seeking an experienced Compliance Supervisor for its Wealth Management division, primarily in the Highland Park office. You will report to the Chief Operating Officer and oversee day-to-day regulatory compliance, including supervision of Wealth Advisor teams and approvals for new accounts.

Requirements include a Finance degree, 10+ years supervisory experience, FINRA licenses (4,7,66,24), and strong SEC/FINRA knowledge. Competitive base salary plus bonus and benefits. EOE

Qualifications

• Bachelor’s degree in Finance or related discipline (strongly preferred).
• 10+ years supervisory experience in wealth management/compliance.
• FINRA licenses (Series 4, 7, 66 and 24).
• Strong knowledge of SEC/FINRA regulations and applying them effectively.
• Proficient with Fidelity (NFS) and Schwab policies.

Responsibilities

• Oversee and supervise the entire Wealth Management division.
• Review new account paperwork for suitability and completeness with Principal approval.
• Develop procedures and guides for operational processes used by Wealth Advisors.
• Monitor and review daily trading activity and compliance reporting.
• Review emails for conflicts of interest and coordinate with Legal/Compliance.
• Liaise with Middle Office to improve operational efficiency.
• Maintain knowledge of Fidelity (NFS) and Schwab policies for channel guidance.
• Review and pre-approve employee personal financial transactions for conflicts.
• Review advertising/client presentation material for regulatory compliance.

Skills

Communication skills

Regulatory interpretation

Cross-functional collaboration

Documentation & reporting

Analytical investigation

Self-motivation & drive

Multi-task prioritization

Fidelity (NFS) & Schwab policy

Education

Bachelor’s degree in Finance

Tools

FIS Protegent

RedOak

Star Compliance

Job description

Mesirow is seeking an experienced Compliance Supervisor for its Wealth Management division, primarily in the Highland Park office. You will report to the Chief Operating Officer and oversee day-to-day regulatory compliance, including supervision of Wealth Advisor teams and approvals for new accounts.

Requirements include a Finance degree, 10+ years supervisory experience, FINRA licenses (4,7,66,24), and strong SEC/FINRA knowledge. Competitive base salary plus bonus and benefits. EOE