Senior Supervision Officer
WI-Milwaukeeremotesenior$21K – $137K
Posted today · via Workday
About this role
About the Role: We’re looking for an engaging and knowledgeable professional with deep expertise in securities industry rules and regulations . In this role, you’ll oversee the daily activity of Financial Advisors and Private Wealth Management (PWM) branch associates in accordance with our firm’s written supervisory procedures , helping ensure a strong culture of compliance, accountability, and client-first decision making. You’ll build trusted relationships with PWM Branch Managers and Corporate Resource Groups (CRG) , serving as a key partner. You’ll provide expertise in discovering, escalating, resolving and following-up on issues and frequently identified patterns of behavior that required additional research and surveillance.…
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reqspace match rubricFive dimensions, recruiter-grade. Upload your resume and we'll generate a written explanation of where you fit and where the gaps are.
1
Skills match
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2
Level fit
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3
Domain experience
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4
Recency
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5
Location fit
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