Supervisory Principal

3 days ago

Dallas, United States Prospera Financial Full time

The Supervisory Principle is responsible for enforcing the Firm’s policies and procedures to ensure compliance with state and federal regulations and rules set forth by state and federal regulatory agencies. The Supervisory Principal is primarily responsible for supervising the suitability of securities transactions and performing principal review functions for an assigned group of representatives, including representatives who may be on heightened supervision and representatives who may have off-platform accounts.

 

Primary Duties:

·      Responsible for principal review of approximately 45 registered representative’s day-to-day securities activities including, but not limited to, suitability review of brokerage accounts, advisory accounts, and direct business accounts such as annuities and alternative investments.

·      Review securities trades and address/reconcile flagged trades for assigned group of representatives.

·      Review written correspondence, electronic communications, social media, and advertising for assigned group of representatives (includes consolidated statements).

·      Responsible for supervising the Prospera-related activities of non-registered associated persons

·      Ensure that all principal review functions are completed in a timely manner (trade review, email review, correspondence review, etc.).

·      Responsible for supervising representatives who may be on heightened supervision.

·      Responsible for supervising representatives who may have off-platform accounts.

·      Responsible for following up with representatives on issues identified by other associates such as responses to the quarterly policy acknowledgments, audit findings, and surveillance inquiries.

·      Document, manage, and escalate supervisory concerns through supervision or escalation cases.

·      Onboarding new representatives through the transition process.

·      Facilitate registered representative training as needed

·      Ensure that various tasks assigned to the Supervisory Principal team are conducted according to the Firm’s policies and procedures and comply with rules set forth by FINRA, SEC, and state/other regulatory agencies.

·      Understand all facets of the Written Supervisory Procedures manual and consult with the firms Compliance department on any issue where additional guidance is necessary to perform the supervisory functions

·      Maintain professional and technical knowledge by attending educational workshops, reviewing professional publications, establishing personal networks, and participating in professional societies.

·      Maintain quality service by enforcing quality and customer service standards, analyzing and resolving quality and customer service problems, identifying trends, and recommending system improvements.

·      Provides a gold-standard experience to our internal and external clients through our corporate service standards.

·      Various other duties as necessary.


Supervision:

·      No direct reports


Education and Experience:


·      Undergraduate degree in Business, Accounting, Finance, or related discipline

·      5+ years broker dealer or investment adviser experience

·      2 years in compliance or supervisory role a plus


Knowledge/Skills:


·      Strong attention to detail and ability to identify regulatory issues or compliance concerns when supervising day-to-day activities of the registered representatives

·      Excellent problem-solving and follow-up skills

·      Excellent customer service skills

·      Ability to multi-task and work effectively in a fast-paced/high volume environment

·      Ability to make regulatory and supervisory-based decisions on a day-to-day basis and escalate issues and concerns to the Sales Supervision Team Lead

·      Knowledge of equities, mutual funds, annuities, alternative investments, and other securities products

·      Knowledge of broker dealer and investment adviser sales practice issues and best practices

·      Knowledge of FINRA, SEC, and State rules and regulations

·      Ability to communicate both verbally and in writing in a professional and effective way

·      Ability to use Microsoft Office (Word, Excel, PowerPoint) effectively


Licenses Required:

·      Series 7

·      Series 66 (or 63 and 65)

·      Series 24

·      Series 4 and 53 a plus, but not required

·      Series 9 and 10 a plus, but not required (these do not replace the need for a Series 24)

·      Life and Health insurance license a plus, but not required





Physical Requirements:


·      Ability to speak, to hear and to operate business equipment such as computers, printers, etc.


Environmental Requirements:


·      Professional office environment

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