Supervision Principal, Electronic Communications Supervision

Summary

The Supervision Principal position is focused on carrying out supervisory responsibilities related to electronic communications of the firm’s Financial Professionals to ensure compliance with regulatory standards and internal policies. The ideal candidate is proactive in identifying and mitigating risks and thrives in a collaborative environment.

Responsibilities

- Review of electronic communications for the financial professionals, including emails, text messages, and Teams messages - Works with financial professionals to address concerns and to educate concerning firm policies - Works with management and other supervision/compliance personnel on escalated issues - Work independently to ensure department deadlines are met and service levels are maintained - Develop and maintain ongoing relationships with team members, internal business partners, and Financial Professionals - Participate in ongoing training to develop proficiency and expertise in supervision systems and ability to identify areas of risk in communications

Basic Requirements

- FINRA Series 7, 24 (or 63/65 or 66) are required - Basic understanding of FINRA and SEC rules regarding communications with the public - Ability to effectively handle and prioritize multiple tasks in a fast-paced environment to meet defined deadlines - Strong analytical and problem-solving skills - Ability to work in a time-sensitive environment - Excellent written and oral communication skills, including the ability to diplomatically find solutions to assist Financial Professionals and internal business partners - Ability to read and interpret documents, including firm policy/procedures and regulatory documents

Preferred Requirements

- 2+ years’ experience in a Principal capacity - 63/65 or 66 preferred - Currently or previously employed at an independent broker-dealer

Education Requirements

- Bachelor’s Degree Preferred, H.S. Diploma or GED certificate + Significant Practical Experience will be considered

Salary

$70,000 - $75,000 per year + annual performance-based bonus

Benefits

Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: Osaic Benefits.

Location(s)

- Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339 - La Vista:12325 Port Grace Blvd, La Vista, NE 68128 - Oakdale: 7755 3rd St. N, Oakdale, MN 55128 - Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255 - St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702