Regional Supervisory Principal

About the role

The Regional Supervisory Principal is responsible for supervising registered representatives, principals, and associated persons of the RIA/broker-dealer. This role also identifies, mitigates, and remediates regulatory risks, and drives awareness and adherence to regulations and firm policies. This role ensures licensing of broker-dealer representatives are compliant with regulatory and firm requirements.

Responsibilities

• Supervises services personnel and processes to ensure adherence to company compliance guidelines, and industry rules and regulations.
• Reviews sales activity utilizing a strong knowledge of products, sales processes, and oversight.
• Conducts periodic internal reviews in preparation for compliance or regulatory audits.
• Proactively engage business partners across the organization to resolve or escalate issues.
• Promote the adoption of controls and compliance through ongoing training, meetings, and consulting activities.
• May participate in department initiatives and projects and serve as subject matter expert in business initiatives.

Requirements

• Education: University degree preferred.
• Work Experience: 5+ years required; 7+ years preferred.
• FINRA Registrations: Series 7; Series 24; Series 65 & Series 66 preferred.
• Physical Requirements: Sedentary work.
• Career Level: 8IC.

Skills

• Business Acumen
• Business Process Improvement
• Business Process Understanding
• Communication
• Compliance
• Continuous Improvement Mindset
• Detail-Oriented
• General Risk Management
• Influence
• Relationship Management
• Risk Mitigation
• Risk Monitoring

Benefits

The organization is committed to making financial well-being possible for its clients, and is equally committed to the well-being of our associates. That’s why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health, wellness and work life offerings that can help you achieve and maintain your best possible physical, emotional and financial well-being.

Pay

Base Pay Range: $70,500/yr - $95,800/yr. Actual base salary may vary based upon relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans).