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Job

VP Wealth Management and Insurance Supervision

  • Location

    Los Angeles

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    Competitive

  • Contact:

    Edward Maglalang

  • Contact email:

    e.maglalang@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    about 1 month ago

  • Expiry date:

    2023-01-20

  • Startdate:

    ASAP

This position is accountable for uniting with field supervisors, Independent Franchise Owners Network advisors to design, implement. Supervision of the Wealth Management divisions’ insurance activities. This position will be reporting to the SVP Head of Wealth Management Supervision and Operational Risk.

Responsibilities:

  • Strong working knowledge of SEC, FINRA, MSRB rules, insurance regulations and their applicability to a wealth management business and/or retail brokerage business.
  • Familiarity with branch office structures and supervisory frameworks.
  • Experience with insurance products and alternative products.
  • Ensure that appropriate supervision is conducted by designated supervisors in the Wealth Management division’s branch offices.
  • Serve as subject matter expert for the Wealth Management division’s retail transaction surveillance platform, including recommending enhancements and managing the quality assurance process for these alerts.

Requirements

  • Experience interacting with senior business leaders and ability to build effective relationships with internal/external stakeholders’
  • Experience with Refinitiv technology platforms, FIS.
  • Ability to prioritize and handle multiple tasks simultaneously, and in some cases, with short deadlines and without sacrificing accuracy or efficiency
  • Series 7, 24, 9/10
  • CA Insurance License
  • 10+ Years Wealth Management/Investment Banking
  • 5+ Years of Management