Wealth Risk & Compliance Supervisor

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

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.