Sales Supervision Principal

What You Will Do:

• Conduct and oversee account reviews for client’s best interest.
• Work with principals/supervisors to reduce overall firm risk through ongoing performance monitoring, training and guidance.
• Review investment advisory, broker/dealer and insurance business for adherence to business line processes and controls.
• Review calls and call reports for quality and adherence of business guidelines.
• Report and provide input to Compliance and/or management regarding regulatory violations, sales practice improprieties or other policy violations.
• Assist in the management of OSJ files for RIA, broker/dealer and insurance agency.
• Assist with the regulatory requirement of advisory annual reviews.
• Assist with licensing and registration.
• Email and correspondence review.
• Perform special supervisory reviews as assigned.

What You Need:

• Bachelor’s degree in finance or business-related field, or equivalent work experience.
• Two years of suitability or best interest review experience, investment sales supervision, or similar work.
• FINRA Series 6 or 7
• FINRA Series 63, 26, 65, or 66, 24; or obtain within six months
• Thorough knowledge of securities products, FINRA, SEC and DOL regulations.
• Strong written and verbal communication skills.
• Analytical and decision-making skills.
• Attention to detail.
• Proficiency using MS Office (Word, Excel).