Client Account Activity Oversight Manager
1 week ago
Client Account Activity Oversight Manager
About the Job:
We are seeking a seasoned professional to oversee client account activities, ensuring compliance with policies and regulations.
Key Responsibilities:
The Client Account Activity Oversight Manager will be responsible for:
- Monitoring administrative, sales, and trading tasks performed by registered employees
- Limits risk and financial exposure to the business unit and the bank
- Oversees day-to-day front line supervision, including mandated supervisory reviews and enterprise alerts
- Reviews trades, solutions, and enrollments, as well as corrects trade errors and resolves complaints
Requirements:
To succeed in this role, you will need:
- A strong attention to detail, ensuring compliance with policies and regulations
- Effective leadership skills to manage and guide a team of employees
- Ability to handle and resolve complex customer complaints
- Excellent communication and interpersonal skills
Additional Skills:
This role requires:
- Attention to Detail
- Continuous Improvement
- Controls Management
- Risk Management
- Fraud Management
- Issue Management
- Monitoring, Surveillance, and Testing
- Policies, Procedures, and Guidelines Management
- Regulatory Relations
- Active Listening
- Decision Making
- Due Diligence
- Leadership Development
- Oral Communications
Work Schedule:
This is a full-time position working 40 hours per week, primarily during daytime hours.
Estimated Salary:
$85,000 - $110,000 per year, depending on experience and qualifications.
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