Senior Advisor, Supervision – Dispute Resolution

• Investigate client concerns, grievances, complaints, and regulatory inquiries.

• Analyze account activity, communications, documentation, and related records to assess potential risk and determine appropriate resolution strategies.

• Identify potential supervisory, regulatory, litigation, and reputational risks to the firm.

• Contribute to and lead discussions regarding regulatory reporting obligations, including Form U4 amendments and settlement reporting requirements.

• Apply knowledge of FINRA, SEC, state regulatory requirements, and firm policies when evaluating matters and making recommendations.

• Maintain awareness of industry developments and evolving regulatory expectations.

• Escalate significant concerns appropriately and provide recommendations for resolution and risk mitigation.

• Serve as a liaison between Supervision, Divisional Management, Sales & Supervision, Compliance, Legal, and other stakeholders.

• Build productive partnerships while maintaining an objective and risk-focused perspective.

• Communicate findings, concerns, and recommendations clearly and professionally.

• Provide guidance regarding supervisory expectations, regulatory obligations, and firm policies.

• Coach and mentor less experienced associates.

• Interpret, apply, and recommend enhancements to policies, procedures, and supervisory practices.

• Prepare and deliver written analyses, presentations, and recommendations to leadership.

• Support special projects and departmental initiatives designed to improve efficiency, consistency, and risk management effectiveness.

• Perform additional duties as assigned.

• Develop working knowledge of Money Movement and Senior & At-Risk Client supervision functions.

• Participate in cross-training opportunities across Supervision teams.

• Assist with reviews, investigations, escalations, and special projects within Money Movement and/or SARC as business needs require.

• Promote consistency in risk assessment and supervisory decision-making across teams.

• Bachelor’s degree in a related discipline and a minimum of three (3) years of Supervision and/or financial services industry experience; or an equivalent combination of education, training, and experience.

• Strong understanding of supervision, securities industry regulations, compliance, banking and financial services operations, and retail activity oversight.

• Experience handling complex investigations, regulatory inquiries, or supervisory matters preferred.

• Strong analytical and investigative skills.

• Excellent judgment and risk-assessment capabilities.

• Ability to independently manage multiple priorities and complex assignments.

• Strong written, verbal, and presentation skills.

• Effective relationship-building skills across all organizational levels.

• Ability to enforce policies and procedures while maintaining strong business partnerships.

• Attention to detail and commitment to regulatory excellence.

• Adaptability and willingness to expand expertise across multiple supervision disciplines.

• SIE and Series 7 securities licenses for the assigned functional area preferred, or the ability to obtain within 120 days.

• Additional licenses or certifications demonstrating expertise in supervision, regulation, compliance, or risk management are preferred.

Investigate thoroughly: Gather facts, analyze information objectively, and develop well-supported conclusions.

Protect clients and the firm: Identify risks and help ensure concerns are addressed consistently and appropriately.

Collaborate broadly: Partner with leadership and business partners to resolve complex matters.

Communicate with impact: Present findings and recommendations clearly and professionally.

Adapt to changing priorities: Build expertise across multiple supervisory disciplines and support evolving business needs.

Drive continuous improvement: Identify opportunities to strengthen controls, enhance processes, and improve outcomes for clients and the firm.