Private Bank - Client Service Supervisory Manager - Newark, DE

Make a meaningful impact in a highly trusted part of the Private Bank. Join a team that safeguards clients and advisors by strengthening supervisory oversight and operational excellence. You’ll partner across Client Service, Operations, Compliance, and Legal to resolve issues, improve processes, and prepare branches for exams. Your expertise will keep our brokerage activities compliant, and our clients protected. Grow your career while helping us raise the bar on supervision.

As a Private Bank Supervisory Manager, you oversee brokerage-related supervision for U.S. Client Service locations and serve as a central escalation point. You partner with us to resolve trade errors, guide registration matters, prepare branch exams, and drive process improvements. Together, we ensure adherence to regulatory requirements and internal standards while supporting employees and clients with timely, risk-based decisions.

• Oversee brokerage supervision for Client Service locations and act as the primary contact for supervisory inquiries
• Partner with Market Supervisory Managers and Operations to resolve trade errors and close error claims
• Process cancel/corrects, assign error responsibility, and complete error reporting
• Guide Client Service Management on employee registration matters; produce and review registration and location reports
• Prepare Monthly Supervision Reviews and lead monthly meetings with Client Service Branch Office Managers
• Support Compliance Annual Branch Exams and coordinate documentation and readiness across eight branches
• Prepare for internal audits, Compliance Testing, and external regulatory exams; demonstrate adherence to policy
• Serve as the escalation point for situations involving Senior Clients or vulnerable clients
• Review and approve gifts to employees; monitor E-Comm violations, Linked In changes via Hearsay, and outside interests
• Analyze outlier trade and PAD violation reports; identify trends and recommend corrective actions
• Assist with surveillance inquiries, brokerage complaints, and cross-functional requests from Control and Operations

• Minimum 2 years of experience in supervisory management, client service, controls, or compliance within a brokerage or wealth management firm
• Demonstrated risk-based decision-making with a strong sense of urgency
• Excellent communication, listening, and stakeholder management skills across all levels
• Proven ability to assess complex issues and drive timely, durable solutions
• In-depth knowledge of brokerage regulatory requirements and best practices
• Strong organization, follow-up, and time management skills in a dynamic environment
• Ability to analyze trends, identify gaps, and implement process improvements
• Proficiency with Microsoft Office (Excel, Word, PowerPoint); strong systems navigation
• Effective collaboration across Client Service, Operations, Compliance, Legal, and other partners
• Active FINRA Series 7 and 66 (or 63 and 65)
• Active FINRA Series 9 and 10 and Series 4 (required to perform full job duties; must be obtained within 120 days if not already held)

• Bachelor’s degree
• Experience preparing for internal audits, compliance testing, or regulatory exams
• Hands‑on experience with trade error resolution, cancel/correct processing, and error reporting
• Familiarity with registration reporting and CRD-related processes
• Experience handling escalations involving senior clients or older vulnerable clients
• Exposure to Hearsay monitoring, E‑Comm reviews, and outside interest oversight
• Track record of leading process improvements in supervisory or client service functions