Wealth Supervision Team Lead

The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status.

Need Help?

If you have a disability and need assistance with the application, you can request a reasonable accommodation. Send an email to Accessibility (accommodation requests only; other inquiries won't receive a response).

Regular or Temporary:

Regular

Language Fluency: English (Required)

Work Shift:

1st shift (United States of America)

Please review the following job description:

Provide leadership of supervision associates tasked with supervisory oversight and monitoring of the firm’s broker-dealer and investment advisory business. Ensure team is aware of and understands all changes relating to compliance with industry rules, regulations as well as internal policies and procedures.

Assist with escalated items as requested from the team and/or management, serving as the subject matter expert. Attend working groups and/or committee meetings to represent the broker-dealer or investment advisory. May work with platform vendor to review and monitor system settings and related alerts. Proactively engage partners within the firm to identify areas for improvement to processes and procedures. Perform supervisory and managerial functions that are routinely associated with those of a retail broker/dealer and/or RIA.

Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.

• Serve as a Team Leader with people management responsibilities which include performance reviews, staffing management, coaching and guiding, requiring reporting on team activities. Keep team updated on policy changes and/or system changes. Serve as a resource to team to answer complex questions and provide assistance on high-level cases.
• Perform escalated review of complex transactions identified by the Supervision Team.
• Electronic Correspondence/Social Media Review of direct reports and as needed in support of the department.
• Effectively communicate policy and procedure changes to the team.
• Serve as Subject Matter Expert for policy changes.
• Serve as primary escalation point of contact for Principal Managers and Business Partners with regard to Supervisory activities.
• Participate in meetings and calls, representing the Supervision Team when discussing Policies, Products, Systems, and other items that impact the department and our processes. Serve as Supervision representative on firm initiatives.
• Oversee day‑to‑day execution of AML and fraud transaction monitoring workflows, ensuring analysts are meeting timeliness, quality, and escalation expectations.
• Implement and manage a formal Quality Assurance/Quality Control program to evaluate the accuracy, completeness, and consistency of analyst investigations, documentation, and UFO submissions.
• Review QA/QC results, identify trends or control weaknesses, and drive corrective action plans, including targeted coaching or process enhancements.
• Serve as escalation point for complex AML/Fraud investigations, ensuring sound risk‑based judgment, proper documentation, and alignment with regulatory expectations.
• Monitor work queues, case aging, and volume spikes to allocate resources, rebalance assignments, and ensure SLAs are met.
• Partner with Protegent Administrator and Business Leadership to refine monitoring rules, adjust risk parameters, and improve detection effectiveness.
• Maintain strong awareness of emerging risks (e.g., fraud typologies, AML regulatory updates, elder abuse trends) and ensure analysts are educated and processes evolve to address those risks.
• Coordinate periodic calibration sessions with analysts to reinforce consistent investigative approaches, documentation standards, and escalation thresholds.
• Lead continuous improvement efforts related to transaction monitoring systems, negative news screening…