Lewis James Professional

Wealth Central Supervision Specialist I

Lewis James Professional is a woman-owned staff augmentation, project consulting and direct hire search and placement firm. We are currently seeking a Wealth Central Supervision Specialist I for a direct hire opportunity with a financial services client.

Responsibilities:

  • Thorough review of new accounts and adherence to RegBi regulations and oversight.
  • Review and approval of money movement request and trade corrections.
  • Partner with sales management to enforce firm and regulatory policies.
  • Review and approve Financial Plans and correspondence for use with the public.
  • Perform supervisory tasks delegated by Principal Managers including oversight of securities related activity of registered bank teammates.

Qualifications:

  • Bachelor's degree in Finance and 2 years of Retail Brokerage experience in supervision or compliance is preferred.
  • 3 years of experience in brokerage with an emphasis in compliance, operations or supervisory function.
  • Strong written and oral communication skills and detailed oriented.
  • Series 7, 66 or (63/65), 24 and Life, Health and Variable insurance license.
  • Proficiency with Microsoft Office applications.

For immediate consideration, please click “Apply” and use Job Code BHJOB11837_2990. You may also send a copy of your resume to: resumes@lewisjamesprofessional.com and enter only the following job code in the subject line: BHJOB11837_2990. Lewis James Professional is an Equal Opportunity Employer. M/F/D/V