Supervisory Principal

About the role

This role is part of a centralized group of supervising principals responsible for ensuring representative activities align to firm and regulatory expectations.

Responsibilities

• Review and accept on behalf of the firm recommendations made to clients and / or review written correspondence and electronic communications to / from associated persons of the broker-dealer.
• Proactively engage business partners across the organization to resolve or escalate issues.
• Develop and maintain strong working relationships within the team and the business line stakeholders.

Requirements

• University (Degree) Preferred
• 3+ Years Required; 5+ Years Preferred
• FINRA Registrations: SRC Indicator: Series 7; Series 24
• Life and Health Insurance License (Resident State) - Multiple Issuers required
• Physical Requirements: Sedentary Work
• Career Level 7IC

Qualifications

• Required: FINRA Series 7
• Preferred: FINRA Series 24 (must be obtained in first 120 days)

Skills

• Business Acumen
• Business Process Improvement
• Business Process Understanding
• Communication
• Compliance
• Continuous Improvement Mindset
• Detail-Oriented