Wedbush · 15 hours ago
Wealth Management Supervision Officer
United States
Full-time
Remote
Mid, Senior Level
$89K/yr - $118K/yrWedbush Securities is one of the largest securities firms and investment banks in the nation. They are seeking a Supervisory Officer with extensive knowledge of FINRA and SEC regulations to provide operational and supervisory support to branches and ensure compliance with regulatory standards.
BankingConsultingFinancial ServicesWealth Management
Responsibilities
Provides operational and supervisory support to branches
Reviews all documents from branches that require one-up approval to ensure in compliance and in good standing before submitting for approval and/or processing
Manage queues of alert-based supervisory flags and works with the branches and branch leadership to address identified risks
Compiles and reports trend based analysis of product usage and risk factors for assigned product areas
Conducts marketing material review such as presentations, social media use, email campaigns and others
Assists with Compliance testing for assigned risk/product areas
Audits and reviews Division level managers' emails via Purview
Collects and audits Manager's Monthly reports for all W2 branches
Ensures Managers are complying with documentation requirements for Financial Advisors
Performs other duties as required and assigned
Qualification
Required
Bachelor's Degree, preferably in related field
Must have Series 7 and 24 Licenses
Knowledge and understanding of SEC, FINRA, MSRB and State rules and regulations
Knowledge and experience supervising trading activities
Strong analytical, problem-solving, and critical-thinking skills
Proficient in Microsoft Office (Outlook, Word, Excel, PowerPoint)
Organized and able to multi-task and manage multiple projects and competing priorities without sacrificing accuracy or efficiency
Strong verbal and written communication skills
Ability to work in a constant state of alertness and safe manner
Preferred
Prefer to have Series 4 and 53
Benefits
Comprehensive medical, dental, and vision coverage with multiple health plan options for you and your family
Health Savings Account with company-sponsored contributions
Flexible Spending Accounts (FSA) traditional and dependent care
Pre-Tax Commuter Benefits
401(k) plan with discretionary, competitive company matching and profit-sharing contributions
Tuition reimbursement up to $5,250/year
3 weeks of Paid Time Off
2 weeks of Paid Sick Time (may vary by location)
10 Paid Holidays
Charitable Donation Matching Contributions
Paid Leave (Parental Bonding, Military, Jury Duty, Volunteer Time Off, Disability, etc.)
FINRA License Sponsorship
Travel & Employee Assistance and Employee Discount Programs
Company
Wedbush
Wedbush Securities is the largest subsidiary of Wedbush Financial Services.
Founded in 1955
501-1000 employees
Funding
Current Stage
Late StageLeadership Team
Gary Wedbush
President & CEO
Daniel Billings
Executive Vice President & Chief Financial Officer
Recent News
2026-01-16
2026-01-09
The Motley Fool
2026-01-03
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