Elevate compliance standards as a Wealth Management Account Supervisor. Drive risk management and supervisory activities while ensuring adherence to best practices in a collaborative atmosphere.
As an Account Supervisor, you'll oversee a variety of supervisory and compliance functions in the wealth management sector. Your strong problem-solving and communication skills will be crucial in managing retail accounts and guiding Financial Advisors on policies. You'll implement procedures to monitor risk while preparing for audits, keeping the operation aligned with regulatory requirements.
Key Responsibilities:
• Oversee supervision of retail accounts and options
• Facilitate escalation of supervisory matters
• Coach on compliance and risk awareness
• Implement risk management procedures successfully
• Manage audit preparations and responses effectively
Requirements:
• Bachelor’s degree or relevant work experience
• 2+ years supervisory experience with CIRO dea...