Key Responsibilities

Client Supervisory Specialist Senior – Wealth Management

Location: United States - Alabama - Birmingham | United States - Florida - Jacksonville | United States - Florida - Miami | United States - Florida - Orlando | United States - North Carolina - Charlotte | United States - North Carolina - Raleigh | United States - New Jersey - Cherry Hill | United States - Ohio - Columbus | United States - Texas - Bellaire | United States - Texas - Dallas | United States - Michigan - Ann Arbor | United States - Ohio - Cleveland | United States - Pennsylvania - Pittsburgh | United States - Arizona - Phoenix | United States - New Jersey – Bridgewater

Employment Type: Full-Time Work Model: In-Office

Client is seeking experienced Client Supervisory Specialists to support supervision, trade review, surveillance, and compliance oversight activities for Financial Advisors and registered branches within assigned regions. The role is responsible for monitoring advisor activity, reviewing trades and new accounts, identifying risk trends, ensuring compliance with Client and securities regulations, conducting escalations, supporting complaint resolution, and mentoring advisors and team members. Senior-level candidates will be expected to handle escalated Level 2 reviews, more complex cases, process improvement initiatives, and supervisory leadership responsibilities.

Candidate Must-Haves

• Active Client Licenses (Series 7 + 24/9/10 + 66 or 63/65)
• Financial Services / Wealth Management Experience
• Supervisory or Compliance Experience
• Trade Review / Surveillance Experience
• Regulatory Compliance Knowledge

Key Responsibilities

• Supervise Financial Advisors (FAs) and registered branch activities
• Conduct trade reviews and new account reviews
• Review surveillance alerts and identify trends/patterns
• Escalate and resolve supervisory or compliance concerns
• Conduct Level 2 reviews and complex case analysis
• Monitor advisor/client activity for regulatory compliance
• Review communications, complaints, and documentation
• Support complaint resolution and branch/hub audits
• Provide coaching and compliance guidance to Financial Advisors
• Conduct proactive training, onboarding, and mentorship
• Collaborate with Legal, Compliance, Risk, Operations, and Sales teams
• Support regulatory and risk management initiatives
• Participate in process improvement and supervisory projects
• Update procedures and assist with department initiatives

Required Qualifications

Education

• Bachelor's Degree required
• Equivalent combination of education, certifications, and experience may be considered

Required Client Licenses

• Series 7
• Series 24 OR 9/10
• Series 66 OR (63 & 65)

Preferred

• Series 4
• Series 53 (preferred if candidate holds Series 24)

Required Experience

• 3+ years of relevant financial services / supervisory experience
• Experience within wealth management, brokerage, or securities supervision
• Experience reviewing trades, surveillance alerts, or new accounts
• Strong understanding of Client, SEC, and securities regulations
• Experience working with Financial Advisors and branch supervision
• Risk management and escalation handling experience

Preferred Experience

• Wealth Management or Private Banking supervision
• Branch examination/audit experience
• Complaint resolution experience
• Supervisory trend analysis and reporting
• Process improvement/project leadership
• Level 2 supervisory review experience
• SME experience across investment products

Required Skills

• Client Supervision
• Trade Review
• Surveillance Monitoring
• Regulatory Compliance
• Risk Management
• Complaint Resolution
• Wealth Management Operations
• Branch Supervision
• Financial Advisor Support
• Critical Thinking & Decision Making
• Training & Mentorship
• Attention to Detail