Field Supervision Opportunity in Financial Services
Regional Supervision Principal
Location(s): Candidates near an Advisor Group Hub location of Phoenix, AZ, Atlanta, GA, Oakdale, MN, La Vista, NE and St. Petersburg, FL are preferred.
Consideration is being given to qualified candidates in all locations and 100% remote.
The Regional Supervision Principal is responsible for the review of Brokerage, Advisory and Directly-held transactions as presented in the firm's designated transaction review system; ensuring those transactions are in the client's best interest, based on stated firm policies and procedures. The Regional Supervision Principal will also assist in the review of Financial Professionals requests for approval of Outside Business Activities, Account Reviews / Acceptance and completion of annual firm requirements such as the Annual Compliance Meeting, Annual Compliance Questionnaire and Firm Element requirements.
The Regional Supervision Principal will have a specific regional territory and is responsible for developing and maintaining relationships with the Financial Professionals within that region.
- Ensures proper business and sales practices are followed by the daily review of brokerage and directly-held transactions.
- Suitability Review of Variable Annuities and Alternative Investments.
- Works with financial professionals to address concerns and to educate concerning firm policies and procedures.
- 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.
- Provide extraordinary customer service to Advisor Group financial professionals, including incoming calls and responding to questions.
- 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.
- At least 3 years related experience conducting suitability review / best interest review of transactions or relevant industry experience understanding current product and procedures.
- FINRA Series 7 is required.
- FINRA Series 24 (or Series 8 or Series 9 / 10) is required.
- Understanding of relevant FINRA and SEC rules.
- Ability to effectively handle and prioritize multiple tasks in a fast-paced team environment to meet defined deadlines.
- Ability to work in a time-sensitive environment.
- Excellent analytical and problem-solving skills.
- FINRA Series 4 and/or Series 53 preferred (or ability to obtain within 6-12 months as a job dependency)
- FINRA Series 66 (or Series 63 / 65) preferred (or ability to obtain within 6 months of affiliation as a job dependency)
Why Advisor Group
- Competitive salary and annual bonus paid based on performance
- Generous time off package, including paid time off, paid holidays, and paid time to volunteer in the community
- Immediate access to extensive benefits package that includes medical, dental and vision coverage, basic life insurance, long and short-term disability coverage and much more
- 401(k) match from day one of employment
- Referral bonuses if we hire your referred applicants to our open positions
- An enriching and engaging career in financial services - our employees overwhelmingly report that they find meaning and purpose in their day to day work
- Executive leader access and interaction in all our locations due to flat structure, open office environments, town halls and speed mentoring events