Supervisory Officer
About the role
We’re looking for a market supervisory officer to:
- drive initiatives related to sales supervision, compliance and business risk, including implementation and education
- manage review of various supervision processes
- support branches in the Branch Review and Group Internal Audit processes, and working on action plans for those with failed audits
- partner with Compliance, including providing input to policy and supporting communication of policies
- serve as a point of contact for issues that cannot be resolved, and escalate issues as required
Responsibilities
Manage review of various supervision processes
Support branches in the Branch Review and Group Internal Audit processes, and working on action plans for those with failed audits
Partner with Compliance, including providing input to policy and supporting communication of policies
Serve as a point of contact for issues that cannot be resolved, and escalate issues as required
Requirements
5+ years of experience as a risk/supervisory manager, or other substantive leadership role with a leading financial institution
Series 7, 8 (or 66/63/65), insurance a plus
Qualifications
Track record of leadership, mentoring and coaching success
Great communicator
Reliable when working independently, with sound judgment for when to escalate issues quickly
Adaptable to changing market situations, technology and business needs
Skills
Strong risk and supervision expertise
Effective communication and problem-solving skills
Ability to work collaboratively and independently
Benefits
Opportunities to grow and flexible working options when possible
Inclusive culture that empowers employees
Use of artificial intelligence (AI) to work smarter and more efficiently
Disability inclusion
Equal opportunity employer