Wealth Management Supervisory Principal - Compliance Lead

Mesirow Financial Holdings, Inc.; Highland (IL); Hybrid; USD 130,000 - 185,000; Full time

Benefits offered by this job

Discretionary performance bonus

Benefits program

Job summary

Mesirow Financial Holdings, Inc. is seeking a Supervisory Principal for Wealth Management in Highland Park, IL. The role reports to the Chief Operating Officer and focuses on day-to-day regulatory compliance and supervision of Wealth Advisor teams.

The candidate will review accounts, monitor trading, ensure policy adherence, and collaborate with Legal/Compliance to address AML and other issues. A strong supervisory background is required.

Qualifications

• Bachelor’s degree in Finance or related discipline is required.
• Minimum of 10 years supervisory experience is expected.
• Strong knowledge of SEC and FINRA regulations and their application.

Responsibilities

• Oversee and supervise the Wealth Management division.
• Review new account paperwork for suitability and completeness with supervisory approval.
• Develop procedures and guides for Wealth Advisors’ workflows.
• Monitor daily trading activity and compliance reporting.
• Liaise with Middle Office, Legal/Compliance, and relevant policy owners.

Skills

Regulatory compliance

Regulatory knowledge

Communication skills

Investigation skills

Documentation & reporting

Team collaboration

Education

Bachelor’s degree in Finance or related discipline

Tools

FIS Protegent

RedOak

Star Compliance

FINRA licenses (Series 4, 7, 66, 24)

Job description

Mesirow Financial Holdings, Inc. is seeking a Supervisory Principal for Wealth Management in Highland Park, IL. The role reports to the Chief Operating Officer and focuses on day-to-day regulatory compliance and supervision of Wealth Advisor teams.

The candidate will review accounts, monitor trading, ensure policy adherence, and collaborate with Legal/Compliance to address AML and other issues. A strong supervisory background is required.