Compliance / Risk Opportunity in Financial Services
Regional Supervision Principal
Location(s): ALL LOCATIONS & REMOTE
Advisor Group is seeking a driven and motivated individual to join our Central Supervision Department. Our selected candidate will be responsible for the review of email and written correspondence, which includes but is not limited to: incoming and outgoing emails, client letters, statements, client reports, etc. In addition, they will also monitor personal security accounts of financial professionals of the firm to ensure they remain in compliance with stated firm policies. This position will have a specific regional territory where our candidate will develop and maintain relationships with the financial professionals in the region. The candidate will help 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. There will be special projects that can include, but are not limited to: reviewing client statements, assistance with heightened email surveillance, transaction review or other post supervisory reviews.
- 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
- 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.
- FINRA Series 7, 24 (or S8 or S9/10) are required
- Basic understanding of FINRA and SEC rules regarding communications with the public.
- 2 years+ in a principal capacity
- 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.
- The ability to read and interpret documents including firm policy and procedures and regulatory documents.
- FINRA Series 63/66 or 65 preferred.
- Currently (or previously) employed at an independent broker-dealer.