Supervisory Principal
We're seeking Supervisory Principals to join our dynamic team within a client success organization of a large Broker Dealer.
As a first-line defense function, you'll play a pivotal role in conducting due diligence reviews on prospective advisors / representatives, evaluating outside business activity and private securities transactions, and ensuring compliance with regulatory standards.
Working closely with various departments, you'll be responsible for reviewing "day one" marketing materials for new offices and providing supervisory expertise and consulting for projects and initiatives.
Responsibilities :
- Conduct due diligence reviews on prospective representatives to assess suitability for joining our broker-dealer organization.
- Review and evaluate requests for outside business activities and private securities transactions submitted by advisors.
- Assess office sharing arrangements to ensure compliance with regulatory requirements.
- Review and approve "day one" marketing materials for new offices joining our organization.
- Collaborate with advisors, business consultants, and internal departments to communicate compliance determinations effectively.
- Provide supervisory expertise and consultation for projects and initiatives across the organization.
- Assist with regulatory exams, internal investigations, and ad hoc projects as required.
What we're looking for :
- We're seeking strong collaborators who thrive in fast-paced environments and are dedicated to delivering a world-class client experience.
- The ideal candidate will have a minimum of 3-5 years of industry experience and hold FINRA Series 7, Series 24, and Series 63 (or 66) certifications.
- Strong attention to detail, excellent problem-solving skills, and the ability to make regulatory and risk-based decisions are essential for success in this role.
- Additionally, candidates with a background in business, accounting, finance, or related disciplines are preferred.
- Proficiency in Microsoft applications, particularly Excel, Word, Access, PowerPoint, SharePoint, and Visio, is required, with familiarity with Salesforce and Oracle considered a plus.
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