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Our Regional Supervisory Principal, Home Office Supervision is the first line supervisor for HOS advisors and OSJ managers in their designated region. The Regional Supervisory Principal (RSP) is charged with maintaining ongoing relationships with their designated advisors and OSJs to educate, guide, and assist them with their compliance responsibilities. They will act as a point of contact and assist where necessary to help build compliant business partnerships with Company.
The Regional Supervisory Principal will be responsible for ensuring that the assigned financial advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm.
Specific areas of responsibility include, but are not limited to:
•First line supervisory responsibility for assigned advisors and OSJ Managers as part of a supervisory team
•Maintains ongoing positive relationship as a first line Supervisor, guide and resource to all HOS advisors and OSJ Managers and support staff in collaboration with the Regional Territory Manager (RTM) and Business Consulting
•Ensures advisor and OSJ understanding and compliance with all firm and industry requirements by proactively communicating the firm’s policies and procedures
•Engages in regular supervisory office visits (SOV’s) with assigned HOS advisors and OSJ Managers in order to promote company supervisory practices, follow up on audit findings and proactively addressing potential compliance issues to minimize risk to the client, the OSJ and the firm
•Identifies suspicious patterns in sales and business practice. Conducts investigations and takes appropriate corrective action as needed in collaboration with the RTM and other internal business units
•Identifies and executes training based on advisor needs and opportunities
•Actively monitor the supervisory systems for their assigned advisors and OSJs and assist in the resolution of heightened transaction review issues and various other situations where the first line supervisor must be involved and make the final decision
•Acts as a conduit of information between the Home Office and the field to assist with problem solving.
•Assist with regulatory exams and requests as well as assist with other internal investigations and reviews relative to supervised advisors and OSJs
•Undergraduate degree in Business, Accounting, Finance or related discipline
•7+ years industry experience
•Licenses Required Series 7, Series 63 or Series 66; and either: (1) Series 9 and Series 10; or (2) Series 24 and a minimum one of the following: Series 4 or 53. For qualified candidates with the S24, the Series 4 or 53 must be passed within 120 days of employment.
Licenses preferred: Series 65 or 66
Other Job Duties:
•Knowledge of mutual funds, annuities, general securities, and other financial products required
•Ability to work in a fast paced/high volume environment and be flexible with work schedule
•Strong knowledge of FINRA SEC, and state rules and regulations
•Ability to develop compliance systems and strategies for effective supervision
•Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position
•Excellent oral and written communication skills
•Ability 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
•Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential
•Excellent management and human relations skills
Company is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. Company enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. Company and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.
If you join Company, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees.
We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.
Join the Company team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE
*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.
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