NewEdge Wealth is looking for a Senior Supervising Principal to help provide oversight and support for NewEdge Wealth’s growing business including its dedicated OSJ and branch offices. With a hands-on approach, this position will work closely with Private Wealth Advisors around the country, sales teams, client service, operations and compliance to help ensure regulatory requirements and obligations are met.
Ideally, this supervisor is proficient at analyzing data in excel, has experience within financial services and is expert in broker dealer and investment adviser regulations. This person must be capable of providing a balance of exceptional service, flexibility and pragmatic judgment while functioning at a high level in real time to keep up with our teams.
Supervisory functions associated with day-to-day sales team and OSJ coverage
Daily trade blotter and quarterly advisory account reviews
Email and correspondence review including retail communications with the public
Supervision of various processes as stated in the Firm’s policies and procedures
Suitability review (Hedge Funds and PE, Structured notes)
Escalation source for teams to help analyze situations and provide solutions while mitigating risk
Partner and collaborate with various departments to address needs and requests of UHNW clients and family offices
10 years of securities industry supervisory experience within organizations providing investment advisory and broker dealer services to retail investors.
FINRA Series 7 and 24 or 9/10 are required.
A four (4) year college degree is required.
Proficiency with Microsoft Office, Orion and Salesforce applications strongly desired.
Experience working with National Financial Services preferred.
Must have the ability for overnight travel on a limited basis (
Superior customer service skills in support of the mission of NewEdge Wealth.