FINRA Supervisory Specialist Senior Wealth Management (Senior & Non-Senior Roles)

veracity solutionsColumbus (OH)

FINRA Supervisory Specialist Senior Wealth Management (Senior & Non-Senior Roles)

Posted 7 days ago

veracity solutionsColumbus (OH)

Securities, Commodities, and Financial Services Sales Agents Portfolio Management and Investment Advice

SENIORITY

Senior

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About the role

Client Supervisory Specialist Senior Wealth Management

Employment Type: Full-Time Work Model: In-OfficeClient 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-HavesActive 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:

EducationBachelor's Degree required
Equivalent combination of education, certifications, and experience may be considered
Required Client Licenses
Series 7Series 24 OR 9/10 Series 66 OR (63 & 65)

Preferred Series 4Series 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 experienceSME 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
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