Regional Supervisory Principal
Core
Review and accept client recommendations and correspondence on behalf of the firm to ensure alignment with regulatory expectations.
Role type
Senior compliance supervisory principal
Builds
Regulatory compliance and client recommendation acceptance processes
Domain
Financial services / Broker-dealer compliance
Required skills
FINRA Series 7, FINRA Series 24, Life and Health Insurance License, Risk Monitoring, Risk Mitigation, General Risk Management, Compliance
Preferred skills
Business Acumen, Business Process Improvement, Continuous Improvement Mindset, Detail-Oriented, Influence, Relationship Management
Technologies
FINRA Systems, Broker-dealer platforms
Responsibilities
Review and accept client recommendations and written/electronic communications; Proactively engage business partners to resolve or escalate issues; Develop and maintain strong working relationships within the team and business line stakeholders
Seniority
Senior, hands-on IC