Senior Supervisory Principal

About the role

A growing independent Broker-Dealer/RIA is adding a Senior Supervisory Principal to its Home Office Supervision team. This is a newly created, high-visibility opportunity for an experienced supervision or compliance professional.

Responsibilities

• Supervise the day-to-day activities of Financial Advisors and Investment Advisor Representatives
• Review new accounts, trades, annuities, alternative investments, and advisory activity
• Review written and electronic advisor communications
• Partner directly with advisors to resolve supervisory and compliance questions
• Research and respond to regulatory, legal, and escalated supervision matters
• Conduct advisor and field office training
• Mentor and support junior supervision team members
• Build strong relationships with advisors while balancing risk management and excellent service

Requirements

• 5+ years of Broker-Dealer supervision, compliance, or risk management experience
• Strong knowledge of FINRA, SEC, and state regulations
• Experience reviewing: New Accounts, Trades, Suitability, Annuities, Alternative Investments, Electronic Communications
• Excellent communication and relationship-building skills
• Comfortable working independently within a collaborative remote team

Qualifications

• Licenses Required: Series 7, Series 24 (or 9/10), Series 66 (or 63/65)
• Preferred: Series 53, Series 4, Life & Health
• Preferred Systems Experience: Smarsh, Wealthscape, RegEd, Salesforce, Envestnet, MoneyProtegent / FISPershing X / Albridge, MOHR Talent

Skills

• Strong regulatory knowledge
• Effective communication and relationship-building skills
• Ability to work independently in a remote team setting

Benefits

Up to $100K base salary plus 15% bonus

Pay

Up to $100K base salary plus 15% bonus

Schedule

Remote position