Overview In this role you supervise operational, client risk, and compliance activities within Bernstein Private Wealth offices to support risk management and efficiency. You will work with Managers and Managing Directors to centralize oversight and drive quality control, service excellence, and timely issue resolution. The role offers involvement in cross-unit collaboration, account transitions, and process improvements in a growth-focused wealth management environment. You join a development-driven culture that values advancing team members to new opportunities.
Compensation / Benefits- health insurance coverage
- employee wellness program
- life and disability insurance
- retirement savings plan
- paid holidays
- sick and vacation time off
Responsibilities- Supervise operational, business, and client risk oversight in partnership with managers and MDs
- Protect reputational risk by reviewing transactions and compliance tasks with escalation when needed
- Demonstrate understanding of firm and industry policies
- Provide supervisory review of daily transactions and exception requests
- Review and approve written correspondence, including social media and emails
- Manage department communications and quality control reports
- Collaborate with managers and MDs to resolve errors and complaints
- Lead account transition efforts when necessary
- Liaise with leadership across portfolio management, legal, compliance, and operations to drive client results
- Assist with projects and analysis as needed
Key requirements- Bachelor degree plus SIE, Series 7, and 63 licenses; strong preference for Series 9/10 or Series 24 (sponsorship available for 24)
- 3+ years in wealth management or 3+ years in compliance/management
- Strong knowledge of the financial services industry and products
- Risk management, interpersonal, communication, decision-making, and leadership skills
- Ability to work with diverse levels, work independently under pressure, and function in a team
- Proven ability to manage priorities in a dynamic environment with attention to detail
- interpersonal skills
- communication
- leadership
- SIE
- Series 7
- Series 63
