Senior Advisor, Supervision - DR​/SARC​/Movement

Position: Senior Advisor, Supervision - DR/SARC/Money Movement
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* Essential Duties and Responsibilities:

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* + 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 In:*
* + 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:*
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** Follow the evidence:
** Investigate complex transactions and client circumstances, connect relevant facts, and reach well-supported conclusions.

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** Communicate with clarity:
** Explain concerns, decisions, required actions, and supporting rationale in a direct, respectful, and well-documented manner.

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** Use*
* ** sound judgment:
** Balance regulatory requirements, client circumstances, firm exposure, and probable consequences; recognize when further investigation or escalation is needed.

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** Build expertise:
** Maintain strong technical knowledge and continue developing capability across Money Movement, Dispute Resolution, and Senior & At-Risk Client matters.

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** Partner effectively:
** Build trust across Supervision, Operations, Fraud, branches, and regional leadership, and work through differing perspectives to reach appropriate outcomes.

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** See the broader risk:
** Look beyond an individual transaction when circumstances may indicate fraud, financial exploitation, inappropriate activity, or another heightened concern.

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** Own the outcome:
** Carry matters from initial review through resolution, manage priorities independently, follow through, and document decisions and actions completely.

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** Adapt and learn:
** Respond effectively to changing priorities, regulations, emerging risks, and business needs, including assignments across DR, SARC, and Money Movement.

** Educational/Previous Experience Requirements:*
* - 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.

~or~

- An equivalent combination of experience, education, and/or training approved by Human Resources.

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* Licenses/Certifications:

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* + 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.

+ Required to have a Series 7, 9 and 10

+ 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.

** Are You Ready to Make an Impact?*
* If you are curious, composed, and willing to make well-reasoned decisions when the path is not obvious, we would like to hear from you. The work will not always be easy-but it will matter.