Investments Regional Supervision Principal
Core
Oversee operations and compliance of regional branches, ensuring adherence to policies and regulatory guidelines while mitigating risks.
Role type
Senior IC investments regional supervision principal
Builds
Compliant branch operations and risk mitigation strategies
Domain
Banking / Financial Services / Regulatory Compliance
Required skills
Branch operations management, Regulatory compliance, Risk identification and mitigation, Financial products knowledge, Strategic planning, Reporting and presentation, Industry regulation monitoring
Preferred skills
FINRA Series 4
Technologies
Microsoft Office Suite
Responsibilities
Oversee operations and compliance of regional branches, Ensure adherence to company policies and regulatory guidelines, Identify and mitigate risks within branches, Develop and implement compliance strategies with sales teams, Monitor branch performance and provide guidance, Prepare reports and presentations for senior management, Collaborate with compliance and risk management teams
Seniority
Senior, hands-on IC