Regional Supervisory Principal

About the role

Support advisor supervision by conducting annual reviews, providing guidance to advisors, and ensuring adherence to firm policies, regulatory requirements, and ethical business practices.

Responsibilities

• Execute supervisory responsibilities in accordance with firm policies, regulatory requirements, and established supervisory procedures.
• Promote consistent supervisory practices across assigned territories and advisors.
• Maintain complete, accurate, and audit-ready supervisory documentation and records.
• Support internal audits, regulatory examinations, and compliance reviews of advisors.
• Identify, document, and escalate potential violations of firm policies or regulatory requirements, and implement appropriate corrective actions.
• Conduct regular supervisory reviews of assigned advisors, including office inspections, client file reviews, and social media searches.
• Monitor advisor emails and client communications to ensure compliance with regulatory standards and firm supervisory procedures.
• Review escalated trading concerns, document findings, and provide recommendations in accordance with supervisory guidelines.
• Serve as the primary supervisory contact for assigned advisors, providing guidance, support, and real-time coaching on compliant sales practices.
• Maintain up-to-date knowledge of regulatory requirements, firm policies, and supervisory procedures effectively applying them in daily supervisory activities.
• Promote a culture of ethical conduct, risk awareness, accountability, and proactive compliance throughout the firm.
• Travel to field locations as needed to conduct reviews, inspections, meetings, and training activities.

Requirements

• Bachelor's degree or equivalent professional experience required.
• Minimum of three years of relevant supervisory experience required.
• FINRA Series 24, Series 7, and Series 63 licenses required.
• FINRA Series 66 or Series 65 license preferred.
• State Life and Health Insurance license preferred.
• Strong knowledge of FINRA, SEC, and applicable state regulations.
• Demonstrated experience applying supervisory procedures and regulatory requirements in a financial services environment.
• Proven ability to drive consistency and effectiveness through established supervisory processes and frameworks.
• Strong analytical, investigative, and problem-solving skills.
• Strong leadership and relationship-building abilities.
• Able to manage multiple priorities and work independently.
• Travel up to 30%, including overnight travel, is required.

Qualifications

• Applicants must be currently authorized to work in the United States on a full-time basis.

Skills

• Strong analytical, investigative, and problem-solving skills.
• Strong leadership and relationship-building abilities.
• Able to manage multiple priorities and work independently.

Benefits

• Enhanced 401(k) with company match.
• Low-cost health, dental, and vision benefits.
• Lifetime life and disability insurance options.
• Paid time off, including holidays and volunteer time.
• Onsite wellness facilities with fitness classes and programs, daycare centers, cafeterias, and more.

Pay

Compensation is commensurate with experience.

Schedule

Hybrid work arrangement available.