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Home Office Principal I

Advisor Group locationPhoenix, AZ
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66 positions
66 positions
info linkReport a probelm Originally Posted : January 01, 2022 | Expires : January 31, 2022


Job Location
Phoenix, AZ, United States


Field Supervision Opportunity in Financial Services

Home Office Principal - Triad

Location: Phoenix, open to remote opportunities

Type: Full-time


The Home Office Principal I will be responsible for serving as the OSJ/Branch Office Manager for Independent Financial Advisors located within an assigned region. This role will be responsible for ensuring that the assigned financial professionals are meeting the standards and requirements of supervision set by regulatory agencies and the firm.


  • Reviews electronic correspondence through email monitoring system
  • Creates and analyzes monthly reports designed to detect transaction-based risk
  • Assists in the development of risk management procedures
  • Accept new accounts on behalf of the firm
  • Conduct post review of trades for suitability
  • Performs initial principal review of mutual fund, variable annuity and alternative investment business
  • Prepares additional Supervision reports as requested
  • Performs OSJ license review and transaction review in the Trade Monitor system.
  • Develops additional compliance reports as necessary
  • Monitors for adherence to FINRA Rule 2273
  • Reviews outside business activities
  • Monitors new advisor training
  • 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:

  • 4+ years securities industry experience required
  • 1+ years compliance, supervision or surveillance experience required
  • FINRA Series 7, Series 24 required
  • Series 53 required to be obtained within 12 months
  • Ability to work on a regular predictable basis
  • Ability to maintain confidentiality
  • Working knowledge of Microsoft Word, Excel, Outlook and other Web-based applications.
  • Exceptional interpersonal and team-building skills
  • Excellent verbal and written customer service, telephone, troubleshooting and communication skills
  • Strong customer service skills required
  • Possess excellent organizational skills with the flexibility to readily adapt to change
  • Must be detailed oriented, able to multi-task and have the ability to implement projects consistent with established company and customer objectives

Preferred Requirements:

  • FINRA Series 66 license
  • Insurance license designations

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