Vice President, Wealth Management Registered Supervisor

Vice President, Wealth Management Registered Supervisor

About the Company

Top-tier global investment bank

Industry
Financial Services

Type
Public Company

Founded
1935

Employees
10,001+

Categories

- Asset Management
- Financial Services
- Lending
- Investment Banking
- Investment Management
- B2B
- Consulting & Professional Services
- Marketplace
- Banking
- Brokerage
- Economics
- Finance
- IPOs
- Personal Finance
- Publicly Traded
- Business
- Wall Street
- Keywords
- Savings & Investing
- Credit
- Insurance
- Morgan Stanley

Specialties

- sales & trading
- investment banking
- investment management
- prime brokerage
- research
- institutional consulting
- wealth management
- and private wealth management
- private wealth management
- and social media disclosures: mgstn.ly/social disclosure

Business Classifications

- B2B
- Marketplace

About the Role

The Company is seeking a Vice President, Wealth Management Registered Supervisor to oversee supervisory, compliance, and risk functions and help maintain a controlled operating environment. Responsibilities include first-tier supervision of retail accounts, facilitating escalated inquiries, and promoting ethical and compliant practices through guidance to financial advisors. The role also involves monitoring risk-management procedures, maintaining supervisory coverage, and ensuring policies and procedures are current and consistently communicated.

The successful candidate will support audits and remediation, monitor people-related risks, and work with senior leadership to address issues.

Candidates must have a bachelor’s degree or equivalent education or experience, at least two years of supervisory experience with a regulated dealer, and the required industry training, courses, and licenses. They should have in-depth knowledge of applicable regulatory rules and experience with complex investment products. Strong communication, attention to detail, judgment, discretion, and leadership skills are essential, along with the ability to prioritize workflow, resolve complex problems, and collaborate with advisors, clients, and colleagues.

Fluency in French is an asset.

Hiring Manager Title
Chief Risk Officer

Functions

- Operations