Wealth Management Risk & Compliance Supervisor

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

Benefits offered by this job

Health insurance coverage

Retirement savings plan

Paid holidays, sick and vacation time

Job summary

AllianceBernstein’s Private Wealth Management division in Nashville seeks a Supervisory Manager to oversee operational, risk, and compliance oversight across offices. You will supervise daily transactions, review communications, and coordinate with senior leaders to support client service excellence.

The role requires a Bachelor’s degree with SIE/Series licenses and 3+ years in wealth management or compliance, plus strong leadership and risk-management skills; travel may be involved and

Qualifications

• 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

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 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

Skills

Bachelor’s degree licenses SIE Series

Wealth management experience

Risk management

Leadership

Communication

Education

Bachelor’s degree in finance or related field

Job description

AllianceBernstein’s Private Wealth Management division in Nashville seeks a Supervisory Manager to oversee operational, risk, and compliance oversight across offices. You will supervise daily transactions, review communications, and coordinate with senior leaders to support client service excellence.

The role requires a Bachelor’s degree with SIE/Series licenses and 3+ years in wealth management or compliance, plus strong leadership and risk-management skills; travel may be involved and