A highly established, global wealth management firm is currently seeking a Market Supervisory Officer to join their team in a hybrid (based out of San Francisco) position. Your primary responsibility will be steering initiatives pertaining to business risk, compliance, and sales supervision. A successful person in this role will be proactive, comfortable operating as a sole practitioner, and easily adaptable to varying market situations.
The Market Supervisory Officer will be responsible for…
- Guiding the supervisory team and training them on certain operational strategies and supervisory tools
- Assisting in Branch Review and Group Internal Audit procedures
- Collaborating with the Compliance department to offer policy suggestions and then communicating those policy changes
- Analyzing audit results and then creating an action plan to resolve
The Market Supervisory Officer should have the following qualifications:
- Series 7, 66, 9, and 10 are required. Series 3 is a plus
- At least a minimum of 5+ years of relevant experience as a supervisory/risk manager
- Previous broker-dealer experience is required
This firm offers the following competitive benefits which allows for a healthy work life balance such as:
- Hybrid work model (flexible on days in office)
- Medical, Dental, and Vision coverage
If you are interested in the Market Supervisory role, then please apply!