Supervisory Principal

2 months ago


Miami, United States Citi Full time

We are seeking a Supervisory Principal to join our client's team This role requires a Series 7 and 24, and fluency in English and Spanish.


Responsibilities

  • Act as a liaison for transitioning practices to the broker dealer home office OSJ direct model
  • Collaborates with broker dealer OSJs and shares best practices associated with the home office OSJ direct model
  • Coordinate FINRA filings with compliance team
  • Review of securities transactions on the electronic trade blotter including but not limited to equities, fixed income, mutual funds, UITs, municipal securities, and 529
  • Reports to senior management with quarterly risk assessments and may propose new policies or procedures regarding risk
  • Performs reviews of client accounts and documents and helps resolves client complaints
  • Assist with regulatory exams and requests assist with the maintenance of the department’s written supervisory procedures
  • Handle Registration issues
  • Lead and/or participate on project teams to upgrade/ implement new regulatory related systems special projects as needed
  • Oversees and supports recruited branch offices throughout the United States and US Territories reporting to the broker dealer’s home office OSJ direct recruited model


Qualifications

•FINRA Series 7, 24

•Bachelor's/University degree or equivalent experience



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