Location: Charlotte, NC, 28230, US
Job Summary:
Job Duties
- Supervise Wealth Brokerage advisor teams
- Identify and mitigate risks related to financial and regulatory matters
- Oversee Broker Dealer trading activity and compliance
- Review Regulation Best Interest documentation
- Implement internal compliance procedures
- Provide risk management support for business changes
- Participate in Supervision Team meetings
- Contribute to supervisory observations reports
Required Skills (Keywords)
- Financial regulations
- Risk management
- Communication
- Data analysis
- Problem-solving
- Relationship management
- Regulatory knowledge (SOX, SEC)
Required Experiences (Topics)
- 3-6 years in financial institutions
- Retail brokerage and/or investment advisory experience
- Supervision and compliance roles
Job URLs: