Senior Wealth Management Compliance Supervisor

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

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.