RIA Supervision & Compliance Leader
Job in
Richardson, Dallas County, Texas, 75080, USA
Listed on 2026-07-14
Listing for:
WTW
Full Time
position Listed on 2026-07-14
Job specializations:
-
Management
Risk Manager/Analyst, Regulatory Compliance Specialist
Job Description & How to Apply Below
WTW is seeking a Supervision Manager to oversee the supervisory framework for the Registered Investment Advisor (RIA) business and the Fixed Insurance Business. You will ensure adherence to SEC and state regulations while supporting advisors and brokers in delivering high-quality client service.
The role leads supervision processes, monitors activity, and partners with Compliance and Operations to mitigate risk and strengthen supervisory practices, including developing procedures, dashboards,
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