Wealth Compliance Director – Supervisory Lead (Hybrid)

Howard-Sloan Search; Chicago (IL); Hybrid; USD 140,000 - 200,000; Full time

Benefits offered by this job

Hybrid work model

Job summary

Howard-Sloan Search seeks a Supervisory Director to work with the COO assisting with day to day regulatory compliance responsibilities relating to required daily supervision of all Wealth Advisor teams across our Northern Suburb & Chicago locations. Responsibilities include new accounts approvals, trade execution monitoring, and internal reviews/inquiries.

Hybrid: 3/2 in Northern Chicago Suburbs and Chicago locations, enabling close collaboration with Legal/Compliance and Securities Processing.

Qualifications

• Bachelor’s degree in Finance or related discipline.
• 6-10 years relevant financial services industry experience.
• FINRA Series 7, 66, & 9/10 or 24 licensed.
• Strong working knowledge of SEC and FINRA regulations.

Responsibilities

• Reviewing new account paperwork and other standard account requests for suitability, appropriateness and completeness, and providing supervisory Principal approval for processing.
• Developing procedures WSPs for operational processes for Wealth Advisors
• Monitoring and reviewing daily trading activity.
• Reviewing pre-trade and post-trade compliance exception reporting,
• Reviewing email correspondence for conflicts of interest or prohibited behavior.
• Acting as liaison to Securities Processing to ensure efficiencies,
• Maintaining knowledge of NFS and Schwab policies affecting Wealth Advisors workflow
• Collaborating with Legal/Compliance Department members regarding various compliance inquiries, including AML, suitability, and other compliance issues.
• Reviewing and providing pre-approval for employee personal financial transactions, working to identify any conflicts of interest.
• Reviewing advertising and client presentation material for compliance with applicable rules and regulations.

Skills

Regulatory compliance

Supervisory experience

FINRA compliance

Trading monitoring

Education

Bachelor's degree in Finance or related discipline

Job description

Howard-Sloan Search seeks a Supervisory Director to work with the COO assisting with day to day regulatory compliance responsibilities relating to required daily supervision of all Wealth Advisor teams across our Northern Suburb & Chicago locations. Responsibilities include new accounts approvals, trade execution monitoring, and internal reviews/inquiries.

Hybrid: 3/2 in Northern Chicago Suburbs and Chicago locations, enabling close collaboration with Legal/Compliance and Securities Processing.