New

Wealth Mgmt. Supervision Control Lead

Valley National Bank
United States, New York, New York
Mar 26, 2026
Responsibilities include but are not limited to: Monitor advisor activities to ensure adherence with firms' policies, regulatory requirements (FINRA, SEC, State Regulations) and industry best practices. Conduct daily, monthly, and quarterly supervisory reviews of advisors' activities, including transaction monitoring and account documentation. Partner with Compliance, including providing input to policy and supporting communication and adherence to policy, and building out the day-to-day regulatory supervision of US Wealth Management business. Supervise the opening and maintenance of client accounts to ensure adherence to KYC/AML. Partner with management to lead and run ad hoc projects and initiatives and provide operational support where needed. Approve new accounts, trade exceptions and investment recommendations within delegated authority levels. Maintain accurate records of review activities and prepare reports for regulatory examinations as needed. Identify and escalate potential regulatory or reputational risk in a timely manner.