Senior Regional Supervisory Principal

Overview

Employer Industry: Financial Services

Why consider this job opportunity:

• Salary up to $140,209/year
• Comprehensive benefits package including 401K matching, health benefits, employee stock options, and paid time off
• Opportunity for career advancement and growth within a rapidly growing wealth management firm
• Supportive and innovative work environment that fosters creativity and collaboration
• Chance to make a real impact while helping clients pursue their financial goals

• Serve as the first line supervisor for assigned advisors and OSJ Managers, providing guidance and support
• Maintain positive relationships with advisors and OSJ Managers to ensure compliance with firm and industry requirements
• Conduct regular office visits to promote supervisory practices and address potential compliance issues
• Identify suspicious patterns in business practices and conduct investigations as needed
• Assist with regulatory exams and provide guidance on day-to-day operational questions

• Undergraduate degree in Business, Accounting, Finance, or a related discipline
• 7+ years of industry experience
• Required licenses/certifications:
  Series 7, 9, and 10 (or Series 24);
  Series 4 & 53 required or must pass within 120 days of employment
• Proficiency in Microsoft applications, particularly Excel, Word, PowerPoint, SharePoint, and Visio
• Strong knowledge of FINRA, SEC, and state rules and regulations

• Series 66 (or S63 and S65) preferred
• Familiarity with BETA is a plus
• Previous experience in a supervisory role within the financial services industry

#Financial Services #Career Opportunity #Compliance #Team Collaboration #Wealth Management

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