Senior Region Registered Principal
Core
Supervise sales activities and suitability of advisors' entire book of business in accordance with Written Supervisory Procedures (WSPs) within an assigned Office of Supervisory Jurisdiction (OSJ).
Role type
Senior Registered Principal (Supervisory)
Builds
Regulatory compliance and supervisory oversight for financial advisors
Domain
Financial Services / Broker-Dealer Regulation
Required skills
Broker-dealer regulations knowledge, Supervisory procedures expertise, Risk-based decision making, Coaching and development, Conflict resolution, Analytical problem solving, Training delivery, Technology aptitude
Preferred skills
Self-motivation, Independent work management, Multi-tasking
Technologies
Supervisory technology platforms
Responsibilities
Provide front-line supervision and compliance oversight through coaching, annual practice assessments, office inspections, and sales/suitability reviews; Proactively identify policy violations via targeted reviews and risk indicator analysis; Partner with corporate partners to investigate and resolve compliance issues and ensure recordkeeping adherence.