Senior Advisor, Supervision - DR/SARC/Money Movement

Essential Duties and Responsibilities

• Review and approve money movement transactions using applicable regulations, firm policies, supporting documentation, and sound supervisory judgment.
• Follow the facts to identify inconsistencies, unusual circumstances, potential fraud or financial exploitation, and matters requiring investigation or escalation.
• Contact clients to verify disbursements that meet established thresholds or when circumstances warrant additional confirmation.
• Review ACH, Standing Letter of Authorization (SLOA), and Periodic Payment setups for Branch Manager client accounts; communicate findings and address identified concerns.
• Monitor the Money Movement Supervision inbox, assess next steps independently, and escalate issues when appropriate.
• Partner with financial advisors, branch managers, regional leadership, Fraud, SARC, and other internal teams to resolve complex account matters.
• Explain supervisory concerns, decisions, and required actions clearly—even when the conversation is sensitive or the answer is not the one requested.
• Maintain current knowledge of regulations, firm policies, and emerging money movement risks and apply that knowledge consistently.
• When assigned, investigate customer disputes and evaluate matters involving senior and at-risk clients.
• Identify trends, recurring issues, and opportunities to strengthen supervisory practices, processes, controls, policies, and procedures.
• Take ownership of matters from initial review through documented resolution and perform other responsibilities as assigned.

Skill

• Critical thinking and sound judgment, including the ability to interpret requirements and apply them to complex or unusual circumstances.
• A disciplined eye for detail and risk, balanced with practical consideration for workflow and the client and advisor experience.
• The ability to manage competing priorities, make timely decisions, and work independently with minimal direct supervision.
• Clear, confident written and verbal communication with clients, financial advisors, branch managers, regional leadership, and internal partners.
• Professional composure during sensitive, challenging, or high-stakes conversations.
• Strong collaboration and relationship-building skills across business units and differing perspectives.
• A commitment to high-quality service without compromising supervisory standards or risk controls.
• Ability To Follow the evidence: Investigate complex transactions and client circumstances, connect relevant facts, and reach well-supported conclusions.
• Communicate with clarity: Explain concerns, decisions, required actions, and supporting rationale in a direct, respectful, and well-documented manner.
• Use sound judgment: Balance regulatory requirements, client circumstances, firm exposure, and probable consequences; recognize when further investigation or escalation is needed.
• Build expertise: Maintain strong technical knowledge and continue developing capability across Money Movement, Dispute Resolution, and Senior & At-Risk Client matters.
• Partner effectively: Build trust across Supervision, Operations, Fraud, branches, and regional leadership, and work through differing perspectives to reach appropriate outcomes.
• See the broader risk: Look beyond an individual transaction when circumstances may indicate fraud, financial exploitation, inappropriate activity, or another heightened concern.
• Owning the outcome: Carry matters from initial review through resolution, manage priorities independently, follow through, and document decisions and actions completely.
• Adapt and learn: Respond effectively to changing priorities, regulations, emerging risks, and business needs, including assignments across DR, SARC, and Money Movement.

Qualifications

• Bachelor’s degree (B.A) in a related discipline and a minimum of three (3) years of experience in Supervision and/or the financial services industry.
• An equivalent combination of experience, education, and/or training approved by Human Resources.
• Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
• SIE required provided that an exemption or grandfathering cannot be applied.
• Series 7, 9 and 10 preferred or Series 24 can be used instead of the 9 and 10.
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.