Centralized Risk Supervision Manager

About the role

The Centralized Risk Supervisor – Manager drives meaningful impact by evaluating and evolving supervisory programs that monitor electronic communications, product and service recommendations, trading activity, and broader risk trends. This role requires assessing the effectiveness of policies and controls, proactively identifying emerging risks, and partnering across the business to influence outcomes that protect clients and the firm.

Responsibilities

• Evaluates and evolves supervisory programs to monitor electronic communications, product and service recommendations, trading activity, and broader risk trends.
• Assesses the effectiveness of policies and controls, proactively identifies emerging risks, and partners across the business to influence outcomes that protect clients and the firm.
• Operates at the intersection of risk management and business enablement, translating complex regulatory requirements into actionable insights while supporting data-driven decision-making.
• Collaborates with client-facing teams, team managers, and senior leadership across WABT to ensure compliance and risk management.

Requirements

• 2+ years of experience in supervision, compliance, or regulatory functions within financial services.
• Active and valid Series 7 & 66 (or equivalent).
• Bachelor’s degree or equivalent work experience.
• Demonstrated Analytical Thinking and ability to assess policies, controls, and risk trends.
• Strong Attention to Communication and relationship-building skills, with the ability to influence stakeholders across multiple levels.
• Proven Attention to Detail and effectiveness in managing complex, high-risk activities.
• Ability to independently prioritize work, manage multiple initiatives, and adapt to evolving regulatory and business needs.

Preferred Qualifications

• Active Series 9/10 (or equivalent) or ability to obtain (may be required as a condition of employment).
• Experience supporting supervisory controls, risk programs, or governance frameworks.
• Exposure to Analytics & Reporting practices and using data to inform decision-making.
• Strong Adaptability and ability to work in fast-paced, evolving environments.

Benefits

Includes a competitive benefits package such as a 401(k) with company match, Employee Stock Purchase Plan, paid time off, sabbatical leave, and tuition reimbursement.