Advisor, Investment Advisory Supervision

Advisory Supervision plays an important role in protecting clients, supporting financial professionals, and helping the firm meet its regulatory responsibilities. As an Advisor, Advisory Supervision, you will apply sound judgment, analytical thinking, and securities-industry knowledge to evaluate advisory and trading activity, identify potential concerns, and help drive appropriate resolution. This role offers the opportunity to work across both general investment advisory supervision and Registered Investment Adviser oversight.

You will review trading activity, client-account information, regulatory filings, advisory agreements, disclosures, and supervisory documentation to assess alignment with firm policies and regulatory expectations. You will also collaborate directly with financial advisors, sales management, and internal business partners to research issues, communicate findings, and support practical, well-reasoned outcomes. The successful candidate will be comfortable working independently, navigating complex or occasionally ambiguous situations, and balancing regulatory risk management with effective business support.

This is an opportunity to develop broad expertise, contribute to process improvements, and serve as a trusted resource within Advisory Supervision.

Conduct risk-based supervisory reviews using multiple reports, systems, and information sources to identify trends, trading patterns, potential policy concerns, and possible regulatory issues.

Evaluate trading activity in client accounts to determine whether it is consistent with the accounts’ objectives and relevant supervisory requirements.

Support oversight of Independent Registered Investment Advisers and Corporate RIA-related activities, including reviews of regulatory filings, client agreements, advisory disclosures, and supervisory documentation.

Document review results clearly, identify matters requiring additional research or follow‑up, and track remediation through completion.

Communicate directly with financial advisors, branch and sales management, and internal business partners regarding supervisory findings, required actions, and potential account‑related concerns.

Research complex supervision, compliance, and advisory‑related questions and recommend practical, risk‑informed solutions.

Stay current on advisory regulations, industry developments, firm policies, and evolving supervisory expectations.

Maintain and enhance supervisory procedures, desktop procedures, process maps, review templates, control documentation, and evidence‑of‑review standards.

Help create consistent, repeatable, and auditable supervisory processes that strengthen the quality and effectiveness of the team’s work.

Contribute to training initiatives by developing materials, coordinating training activities, maintaining records, and sharing technical knowledge with colleagues.

Prepare and deliver clear written communications, review findings, presentations, and recommendations for technical and non‑technical audiences.

Serve as a technical resource to colleagues and business partners and provide guidance on defined supervisory processes and issues.

Lead or contribute to projects of moderate scope and complexity that improve supervisory practices, documentation, or operational effectiveness.

Perform other duties and responsibilities as assigned.

Knowledge Working knowledge of investments, securities trading, industry regulations, and client suitability at a level consistent with Series 24 licensing expectations.

Knowledge of the Investment Advisers Act, Form ADV, Form CRS, IARD, advisory agreements, disclosure obligations, fiduciary considerations, custody and asset‑management concepts,…