Supervisory Manager

AllianceBernstein L.P.; Nashville (TN); On-site; USD 100,000 - 120,000; Full time

Benefits offered by this job

Health insurance

Wellness program

Life insurance

Disability insurance

Retirement savings plan

Paid holidays

Paid time off

Job summary

AllianceBernstein L.P. in Nashville announces a Supervisory Manager role within Bernstein Private Wealth Management.

The position focuses on centralized oversight of regulatory reviews and business approvals across Private Wealth offices to support risk management and client service excellence. The role requires a bachelor’s degree, SIE, Series 7, 63 licenses, with preference for Series 9/10 or Series 24 sponsorship.

Qualifications

• Bachelor’s degree and SIE, Series 7, 63 licenses are required, with a strong preference for Series 9 and 10 licenses, or Series 24 license as well (Bernstein will sponsor candidates who need to obtain their 24 license).
• 3+ years of wealth management experience and/or 3+ years of compliance/managerial experience, plus strong knowledge of financial services.
• Strong risk management, interpersonal, communication, decision-making and leadership skills.
• Ability to work with individuals at all organizational levels, work independently under pressure, and work as part of a team.
• Proven track record of proactively managing priorities in a dynamic environment with great attention to detail.

Responsibilities

• Supervise and provide oversight of operational, business, and client risk in partnership with Managers and Managing Directors in Private Wealth offices.
• Protect the firm’s reputational risk and utilize critical thinking while reviewing transactions and compliance tasks.
• Demonstrate understanding of firm and industry policies.
• Provide supervisory review of daily transactions and exception requests.
• Review and approve written correspondence including social media communications and emails.
• Manage and distribute department-wide communications and quality control reports.
• Partner with Managers and Managing Directors on resolution of errors and complaints.
• Lead account transition efforts when necessary.
• Liaise with leadership in other business units to drive results for clients.
• Assist with projects and analysis as needed.

Skills

Leadership

Risk management

Interpersonal skills

Communication

Decision making

Teamwork

Education

Bachelor’s degree

SIE

Series 7

Series 63

Series 9/10 preferred

Series 24 sponsorship

Job description

Supervisory Managers partner with sales and service leaders within our Private Wealth Management business, with a particular focus on centralizing oversight of regulatory reviews and business approvals across our Private Wealth offices. Supervisory Managers help support and seek to improve the firm’s risk management efforts, while also providing efficiency for senior leaders. Supervisory Managers participate in a training program that provides an in-depth overview of proprietary investments, services, policies, and procedures, with a focus on client service excellence. We take the development of all our employees seriously. We focus on understanding the strengths and aspirations of each individual and help them create a path to success. At Bernstein Private Wealth Management, we celebrate the opportunity to advance team members on to other exciting opportunities.

A Supervisory Manager will:

• Supervise and provide oversight of operational, business, and client risk in partnership with Managers and Managing Directors in Private Wealth offices
• Protect the firm’s reputational risk and utilize critical thinking skills while reviewing various transactions and compliance tasks, escalating issues to senior leadership where appropriate
• Demonstrate a clear understanding of firm and industry policies
• Provide supervisory review of daily transactions and exception requests
• Review and approve written correspondence including social media communications and emails
• Manage and distribute department-wide communications and quality control reports
• Partner with Managers and Managing Directors on resolution of errors and complaints
• Lead account transition efforts when necessary
• Liaise with leadership in other business units (portfolio management, legal, compliance, operations, etc.) to drive results for clients
• Assist with projects and analysis as needed

We are seeking candidates who have:

• A Bachelor’s degree and SIE, Series 7, 63 licenses are required, with a strong preference for Series 9 and 10 licenses, or Series 24 license as well (Bernstein will sponsor candidates who need to obtain their 24 license)
• 3+ years of wealth management experience and/or 3+ years of compliance/managerial experience, plus strong knowledge and understanding of the financial services industry and products and services provided
• Strong risk management, interpersonal, communication, decision-making and leadership skills
• Ability to work with individuals at all organizational levels, work independently under pressure, and work as part of a team
• Proven track record of proactively managing priorities in a dynamic environment with great attention to detail

For internal candidates, this position can be based in most Bernstein Private Wealth office location. For others, the role is based in our Nashville headquarters.

In accordance with applicable law, the minimum and maximum base annual salary for this role is as follows: Base Salary Range: $100,000 to $120,000 Actual base salaries may vary based on factors including but not limited to education, training, experience, past performance, and other job-related factors. Base salary is just one component of total compensation at AB, which may include, depending on eligibility, commissions, year-end incentive compensation, short- and long-term incentives and Department-specific awards. In addition, AB provides a variety of benefits to eligible employees, including health insurance coverage, an employee wellness program, life and disability insurance, a retirement savings plan, paid holidays, sick and vacation time off. All are encouraged to apply. AB does not discriminate against any employee or applicant for employment on the basis of race, color, religion, creed, ancestry, national origin, sex, age, disability, marital status, citizenship status, sexual orientation, gender identity, military or veteran status or any other basis that is prohibited by applicable law. AB’s policies and practices seek to ensure that employment opportunities are available to all employees and applicants based solely on job-related criteria.

• Nashville, Tennessee
• Atlanta, Georgia
• Chicago, IL
• Cleveland, Ohio
• Dallas, Texas
• Denver, Colorado
• Houston, Texas
• Miami, Florida
• Philadelphia, Pennsylvania
• Tampa, Florida
• Washington DC
• West Palm Beach, Florida

We are a leading global investment management firm offering high-quality research and diversified investment services to institutional clients, retail investors, and private-wealth clients in major markets around the globe. With over 4,000 employees across 51 locations operating in 25 countries and jurisdictions, our ambition is simple: to be the most trusted investment firm in the world. We realize that it's our people who give us a competitive advantage and drive success in the market, and our goal is to create an inclusive culture that rewards hard work. Our culture of intellectual curiosity and collaboration creates an environment where you can thrive and do your best work. Whether you're producing thought-provoking research, identifying compelling investment opportunities, infusing new technologies into our business or providing thoughtful advice to our clients, we are fully invested in you. If you're ready to challenge your limits and empower your career, join us!

AB does not discriminate against any employee or applicant for employment on the basis of race, color, religion, creed, ancestry, national origin, sex, age, disability, marital status, citizenship status, sexual orientation, gender identity, military or veteran status or any other basis that is prohibited by applicable law. AB’s policies, as well as practices, seek to ensure that employment opportunities are available to all employees and applicants, based solely on job-related criteria.

Please be advised that AB does not solicit confidential information from job applicants during the screening process, nor extend job offers without the candidate participating in a series of interviews to be properly considered for an open role. If you receive requests for confidential information, outside of the formal interviewing process even if the person asserts that they represent AB, we encourage you not to reply.