Vp, Division Supervision Officer

Chartwell Investment Partners

Remote
Remote
Enterprise supervisory framework and governance
Broker-dealer and investment advisory supervision
Leadership for supervision professionals
Chartwell Investment Partners is seeking a Vice President, Division Supervision Officer, to lead supervisory and risk functions across a designated territory. The role involves setting strategic priorities, developing a supervision team, and ensuring compliance with regulatory standards while fostering a culture of accountability and ethics

Job Summary

  • The Vice President, Division Supervision Officer provides enterprise leadership for supervisory and risk functions across an assigned territory, setting strategy and establishing consistent supervisory standards.
  • This role leads and develops a team of supervision professionals, serves as a senior escalation point for complex supervisory matters, and proactively advises Divisional and Branch leadership on emerging risks.
  • The position requires a Bachelor’s degree and a minimum of 12 years of Administrative Manager or Supervision experience in the financial services industry, along with appropriate series licenses.

Matching Summary

Match Score: 85

Chartwell Investment Partners is seeking a Vice President, Division Supervision Officer, to lead supervisory and risk functions across a designated territory. The role involves setting strategic priorities, developing a supervision team, and ensuring compliance with regulatory standards while fostering a culture of accountability and ethics.

Skills & Requirements

Must-have

  • Enterprise supervisory framework and governance
  • Broker-dealer and investment advisory supervision
  • Leadership for supervision professionals
  • Senior escalation point for complex matters
  • Risk-informed decision making
  • Audit and exam readiness

Nice-to-have

  • Executive presence and ethical conduct
  • Proactive risk advisory
  • Cross-functional initiative leadership
  • Service 1st attitude

Key Requirements

  • 12 years of experience
  • Bachelor's degree
  • Series 7, 9, 10, or 24, and 66 licenses
  • SIE required

Work Rights

Not specified

Tailored Resume

Cover Letter