Senior Regional Supervisory Principal
Core
Senior regional supervisor ensuring holistic compliance and regulatory adherence for Home Office Supervision (HOS) advisors and Office of Supervisory Jurisdiction (OSJ) managers across a designated region.
Role type
Senior Regional Supervisory Principal
Builds
Compliant business operations for financial advisors and OSJ managers
Domain
Financial Services / Wealth Management / Regulatory Compliance
Deliverable
client delivery
Required skills
FINRA Series 7, 9, 10 (or 24), Series 4, 53, 66 (or 63, 65), Undergraduate degree in Business/Accounting/Finance, 7+ years industry experience, 3+ years direct supervision, Microsoft Office suite (Excel, Word, Access, PowerPoint, Visio), Knowledge of life insurance/mutual funds/annuities/securities/alternative investments, FINRA/SEC/State regulations
Preferred skills
Collaboration, Innovation
Responsibilities
Resolve escalated complex issues for the supervisory team; Maintain ongoing relationships with HOS advisors and OSJ managers to educate, guide, and assist with maintaining a compliant business; Ensure assigned financial advisors meet regulatory standards and firm supervision requirements.
Seniority
Senior, hands-on IC