Under the direction of the Chief Supervision Officer, the Principal supervises activities of financial representatives and their employees with respect to laws and regulations of various agencies including FINRA, SEC, MSRB, and State Securities or Insurance Commissioners.

The following qualifications, FINRA registrations and state insurance licenses are required for all supervisors:

• Bachelor's Degree (preferred)
• 1-3 years of relevant work experience with broad scope of duties and increasing level of responsibility in the securities industry - preferable including experience in securities operations and compliance
• FINRA Series 7, 9/10, and 63 OR 7, 63, 24, 4, and 53 OR 7, 63, and 8 (If candidate has all but 1-2 of the above exams, they must be complete within 6 months of hire)
• State Life & Health License
• Background check and fingerprinting required

RESPONSIBILITIES:

• Supervision & monitoring of sales practices through supervisory systems, Financial Representative reviews, and client calls.
• Books and Records Recordkeeping and Reporting.
• Training and Communications to representatives and staff
• Train on compliance & operational processes: check deposits & shared logs, system functionality (NetX360)
• Signs off as a registered principal on securities transactions.
• Oversee NMIS Operations: monitor data administration, service support for investment operations, cashiering & check processing, check deposits & shared logs, and trade corrections.
• Point of contact for Financial Representatives’ questions and problems across several subject matter areas.
• Potentially act as liaison with departments in the home office.
• Identify and resolve instances of Financial Representative non-compliance.
• Expert on policies and procedures and can operate effectively in ambiguous situations.
• Delivers difficult messages effectively.
• High level oversight of compliance/supervision in addition to the ability to operate in the details.
• Maintains strong relationships with team/leaders/reps/and staff.
• Proactively identify and mitigate risks before they occur.

KNOWLEDGE, SKILLS, & ABILITIES:

• High ethical standards.
• Strong written and oral communications skills.
• Demonstrated ability to coach and train others.
• Excellent organizational and time management skills with the ability to manage multiple assignments, set priorities and meet deadlines
• Demonstrated consultative skills to include: planning; process management; providing feedback; giving direction to others.
• Ability to work independently and know when to involve others is essential.
• Proven ability to build rapport and exercise tact, diplomacy and understanding of internal and external clients
• Attention to detail and excellent analytical and problem-solving skills.
• Ability to travel as required.
• Proven ability to lead and manage people while building effective teams
• Demonstrated experience in the interpretation and application of laws, regulations (FINRA, SEC), company policies, best business practices, and/or ethics (experience related to mutual funds, insurance and/or other financial products preferred).
• Excellent presentation skills and experience in facilitating meetings, and conducting training sessions.

Job Type: Full-time

Benefits:

• 401(k)
• Dental insurance
• Employee assistance program
• Health insurance
• Life insurance
• Paid time off
• Vision insurance

Schedule:

• 8 hour shift
• Monday to Friday

Application Question(s):

• Will you now or in the future require sponsorship to work within the United States?
• What is your expected compensation?

Education:

• Bachelor's (Required)

Experience:

• Financial services: 3 years (Preferred)

License/Certification:

• Life & Health License (Required)
• Series 7 (Required)
• Series 63 (Required)
• Series 9/10 (Required)
• Series 24 (Required)

Work Location: In person