Senior Supervisory Principal
New
Australia, Canada, Ireland, New Zealand, United KingdomFull-TimeSenior
Salary not disclosed
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Job Details
- Experience
- 5-7 years industry experience
- Required Skills
- SalesforceComplianceRisk Management
Requirements
- Bachelor's degree.
- 5-7 years of industry experience, preferably in Supervision, Compliance, or risk management.
- Series 7, 24 (or 9/10), and 66 (or 63/65) licenses required.
- Series 53 (or 24 if holding 9/10) required within 3 months of hire.
- Knowledge of SEC, FINRA, and State rules and regulations.
- Understanding of BD and RIA business practices.
- Proficiency with Microsoft Office suite (Word, Excel, Teams, Outlook).
- Familiarity with industry platforms such as FIS/Sungard/Protegent, Envestnet, Albridge/Pershing X, Wealthscape, Smarsh, RegEd, eMoney, and Salesforce.
- Excellent organizational, written, and verbal communication skills.
- Strong conflict resolution and presentation abilities.
Responsibilities
- Supervise the day-to-day activities of assigned Registered Representatives and Investment Advisory Representatives.
- Conduct supervisory review of new accounts, trades, annuities, and alternative investments.
- Perform supervisory review of written and electronic correspondence.
- Conduct field office training as required.
- Resolve escalated supervisory and compliance issues.
- Research and prepare draft responses to regulatory and legal inquiries.
- Strengthen relationships with advisors and their support staff.
- Support team members through training, mentoring, and professional development.
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