Supervisory Principal Cover Letter

I submit this application to express my sincere interest in the supervisory principal position.

Previously, I was responsible for compliance support to bank executives relating to ensure compliance with OCC regulations and act as liaison with OCC and SEC for related matters.

Please consider my qualifications and experience:

• Perform surveillance and analysis of consolidated reporting activity
• Ensure Advisors are meeting the standards and requirements set by regulatory agencies and the firm
• Act proactively to identify and escalate potential compliance issues or red flags
• Extensive knowledge of FINRA, SEC, and state insurance regulations
• In depth knowledge of insurance products, securities products and investment portfolios
• Provide backup to other team members with various projects, tasks or cross training needs
• Identify issues and be able to easily shift priorities as needed to meet the varied needs of the business units it supports
• Maintain an in-depth knowledge and understanding of the firm’s advisory, retirement, and financial planning program offerings to help ensure supervisory efforts provide an appropriate level of oversight, controls and support

In response to your job posting for supervisory principal, I am including this letter and my resume for your review.

In my previous role, I was responsible for research and analysis support to several departments throughout FINRA to support their data needs related to insights about financial capability and financial fraud in America.

Please consider my experience and qualifications for this position:

• Review consolidated reports and marketing templates to ensure conformance with pre-approved standards and address any discrepancies pertaining to the submissions
• Provides direct supervision of registered representatives for broker-dealer and insurance agency functions
• Assists with the assessment of workflow and technology platform design to identify opportunities for better risk management, greater efficiency, and reduced processing times
• Research and review annuity liquidation transaction, free looks, and other transactional activity
• Serve on various committees and projects as determined by management
• Assist other functions within Business risk management as necessary to meet demand
• Assist with ad hoc project requests from management

In response to your job posting for supervisory principal, I am including this letter and my resume for your review.

In my previous role, I was responsible for principal review and approval on variety of business types: mutual funds, annuities, variable life insurance, 529 plans, financial planning, alternative investments (REITs and DPPs), advisory and brokerage transactions.

Please consider my qualifications and experience:

• Serves as supervisory subject matter expert on firm initiatives
• Work with leadership and other functional areas to enhance and evolve the firm’s supervisory program to one that provides increased efficiencies and effectiveness
• Provide regulatory/business approval for research/strategy/marketing content to be distributed to investors
• The Review Principal will receive guidance, mentoring, and on-the-job training while performing increasingly challenging and complex assignments
• Excellent oral and written communication skillsA
• Bility to make regulatory and supervisory-based decisions will be necessary to complete the day-to-day functions of the role and for staff support in their role as Branch Office Manager
• FINRA designated Supervisor for Bankers Life Securities (BLS) and Bankers Life Advisory Services (BLAS) registered personnel
• Strategically partner with Regional Supervisory Principals (RSP’s) in the supervision of Financial Representatives (FR’s) and Investment Advisors (IA’s)

I submit this application to express my sincere interest in the supervisory principal position.

In the previous role, I was responsible for guidance and document best practices utilized in AML surveillance reviews and examinations to be provided to FINRA staff.

I reviewed the requirements of the job opening and I believe my candidacy is an excellent fit for this position. Some of the key requirements that I have extensive experience with include:

• Ensure day-to-day supervisory tasks are completed in accordance with procedures
• Ensure timely and effective responses to Compliance, Supervision and Audit Examinations
• Actively monitor the supervisory systems for assigned FR’s, IA’s and OSJs and assist the RSP in the resolution of heightened transaction review issues and various other situations
• Conduct reviews pursuant to procedures on trade activities, advertising, sales literature, email, texting, outside business activities, and assist in helping to ensure the RRs and IARs reporting to this role satisfy their ongoing compliance and operational requirements
• Assist in the resolution of customer complaints
• Conduct onboarding tasks including the review and approval of new FRs and/or IAs
• Assist the principal review desk as needed or when cases are escalated
• Provide awareness across all BRM departments of any investigations, escalations, or emerging risks involving financial professionals and OSJs