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Valley Bank · 5 hours ago

Wealth Management Supervision Control Lead

New York, NY

Full-time

Onsite

Entry, Mid Level

2+ years exp

Valley Bank is a leading relationship bank built for growth, focusing on the potential of its clients and associates. The Wealth Management Supervisory Control Lead is responsible for overseeing financial advisors to ensure compliance with regulatory requirements and internal policies, while also focusing on risk management and maintaining the integrity of client interactions.

Banking

H1B Sponsor Likely

Responsibilities

Monitor advisor activities to ensure adherence with firms' policies, regulatory requirements (FINRA, SEC, State Regulations) and industry best practices

Conduct daily, monthly, and quarterly supervisory reviews of advisors' activities, including transaction monitoring and account documentation

Partner with Compliance, including providing input to policy and supporting communication and adherence to policy, and building out the day-to-day regulatory supervision of US Wealth Management business

Supervise the opening and maintenance of client accounts to ensure adherence to KYC/AML

Partner with management to lead and run ad hoc projects and initiatives and provide operational support where needed

Approve new accounts, trade exceptions and investment recommendations within delegated authority levels

Maintain accurate records of review activities and prepare reports for regulatory examinations as needed

Identify and escalate potential regulatory or reputational risk in a timely manner

Qualification

Securities industry regulationsAlternatives investmentsStructured productsStockFixed income securitiesVerbal communicationOrganizational skillsTeamwork skillsSelf-starterResults oriented

Required

Knowledge of securities industry regulations, including FINRA/SEC rules, and suitability guidelines

Knowledge of the following products and supervision of these products: alternatives investments, structured products, stock and fixed income securities

Strong verbal and communication skills

Strong organizational and teamwork skills

Self-starter who will take initiative, learn quickly and work both independently and collaboratively

Results oriented and quickly turn around high-quality work in a fast-paced environment

High School Diploma with a minimum of 2 years of experience in wealth management or brokerage compliance

Preferred

Bachelor's degree in related concentration such as Business Administration, Finance, Mathematics, etc. and ideally 2-5 years of experience in wealth management or brokerage compliance

Company

Valley Bank

Glassdoor3.2

Valley National Bank is a regional financial institution

Founded in 1927

Wayne, New Jersey, USA

1001-5000 employees

https://www.valley.com/

H1B Sponsorship

Valley Bank has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

Represents job field similar to this job

Trends of Total Sponsorships

2025 (18)

2024 (13)

2023 (7)

2022 (11)

2021 (5)

2020 (5)