Regional Supervision Principal

Current Employees and Contractors Apply Here
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Compliance/Risk Opportunity in Financial Services

Regional Supervision Principal

Preferred Location: 20 E. Thomas Road, Phoenix, AZ 85012

Accepting qualified candidates in all locations & remotely

Summary:

Advisor Group is seeking a driven and motivated Regional Supervision Principal to join our Central Supervision Department. The Regional Supervision Principal is responsible for the review of email and written correspondence, including incoming and outgoing emails, client letters, statements, and client reports. Additionally, the Regional Supervision Principal will monitor personal security accounts of financial professionals of the firm to ensure they remain in compliance with stated firm policies. Our Regional Principals have a specific regional territory where they develop and maintain relationships with the financial professionals in the region, helping coordinate efforts between other home office staff members to ensure business is processed in accordance with the firm's policies and procedures to protect the client, the FLS, and the firm. The Regional Supervision Principals assist with special projects, including reviewing client statements, assistance with heightened email surveillance, transaction review and other post supervisory reviews.

Responsibilities:

• Ensures proper business and sales practices are followed by the daily review of E-mail and Written Correspondence
• Monitoring of Personal Security Accounts of financial professionals
• Same Day Trading Review
• Works with financial professionals to address concerns and to educate concerning firm policies
• Works with management and other supervisory/compliance personnel on escalated sales practice issues
• Work independently to ensure department deadlines are met and service levels are maintained
• All other duties as assigned

Education Requirements:

• Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required

Basic Requirements:

• 2 years+ in a principal capacity
• FINRA Series 7, 24 (or S8 or S9/10) 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 team environment to meet defined deadlines
• Excellent analytical and problem-solving skills
• Ability to work in a time-sensitive environment and on occasion the ability to work extended hours, as needed
• Excellent written and oral communication skills, including the ability to diplomatically find solutions to assist advisors and internal business partners.
• Ability to read and interpret documents including firm policy and procedures and regulatory documents

Preferred Requirements:

• FINRA Series 66 (or 63 / 65) preferred
• Currently (or previously) employed at an independent broker-dealer

Current Employees and Contractors Apply Here