Wealth Mgmt. Supervision Control Lead - New York, NY

Valley National Bank
United States, New York, New York
Jan 08, 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.