Job Description

Description

:

The Market Supervision Manager partners closely with the Wealth Market Leader(s) and will be expected, on a delegated basis, to manage the day-today supervisory, compliance and operational aspects of the business in order to achieve our strategic objectives for the Market(s).

Depth & Scope:

  • FINRA designated Supervisor (via Delegation from WML) for Registered/Associated Persons in supported Market(s)
  • Strategically partners with WML(s) to lead and develop supported Market(s)
  • Leads and implements business and firmwide control, supervisory and operational excellence initiatives with supported WML(s)
  • Ensures timely and effective response to Compliance, Central Supervision and Audit, Compliance or other Reviews
  • Ensures timely completions of required learnings, compliance training, new product or service trainings, etc
  • Ensures timely and effective completion of annual and new account reviews, high...

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