Regional Supervisory Principal

4 days ago

Woburn, United States Citizens Full time
Job Description

Description

Primary Function

The primary function of the Regional Supervisory Principal is to provide direct supervision of Registered Representatives (Financial Advisors, Private Client Relationship Mangers, Investment Assistants) within the designated geographic region(s).  The Regional Supervisory Officer will maintain ongoing relationships with their designated Registered Representatives (RRs) to educate guide and ensure that the assigned Registered RRs are meeting the standards and requirements set forth by regulatory agencies and firm policies and procedures.

Key Responsibilities

  • Direct supervision of RRs for the broker dealer; provide supervision, guidance, advice and training.
  • Ensure RRs understanding and compliance with all firm and industry requirements by proactively communicating the firm’s policies and procedures.
  • Conduct regular branch exams as required in the Written Supervisory Procedures (WSP).
  • Respond to findings from Compliance / Internal Audit branch exams.
  • Identify and execute trainings based on RR need.
  • Actively monitor available reports/systems and act as needed.
  • Assist in the resolution of heightened transaction review and other situations from the Principal Review Desk.
  • Review and approve / deny written correspondence / communication with the public in accordance with regulations and firm policies.
  • Refer to and provide input to Compliance on regulatory / firm violations, sales practice issues, recommend and monitor heightened supervision as needed.
  • Review and approve / deny Outside Business Activity.
  • Maintain Office of Supervisory Jurisdiction (OSJ) as required by the WSP
  • Maintain comprehensive knowledge of key industry topics, internal programs, regulatory requirements, and firm policies and procedures.
  • Identify suspicious patterns in sales and business practices.  Conduct investigations and take appropriate corrective action as needed in collaboration with Regional Sales Managers and other internal business units.
  • Support Home Office supervisors in the general supervision of RRs.
  • Actively promote awareness and compliance with policies and procedures through consistent and proactive communication with assigned region.
  • Participate in special projects, as request by Management.
  • Hybrid Work Environment (Currently one day a week in office, subject to change)

Qualifications

Required Skills

 

  • In-depth knowledge of FINRA, SEC, and state rules and regulations.
  • Must be self-reliant and able to carry out duties and responsibilities with minimal direct supervision.
  • Ability to make regulatory and supervisory-based decisions in a fast paced/high volume environment.
  • Strong leadership skills and ability to influence.
  • Strong conflict management and problem solving skills.
  • Excellent written and oral communication and interpersonal skills.
  • Organizational skills and the ability to prioritize multiple priorities.
  • Ability to travel within region at least 25% of time.
  • Proficiency in MS office projects.

Experience

  • Bachelor’s degree
  • 7+ years of advisory or brokerage experience, preferably in compliance, field management / supervision
  • Licenses / Certifications required: FINRA Series 7, 24, 65/66, Resident Life, Health,  Accident and Variable Insurance
  • Certified Retirement Counselor (preferred)
  • Prior management experience a plus.

 

 

Some job boards have started using jobseeker-reported data to estimate salary ranges for roles. If you apply and qualify for this role, a recruiter will discuss accurate pay guidance.

Equal Employment Opportunity

At Citizens we value diversity, equity and inclusion, and treat everyone with respect and professionalism. Employment decisions are based solely on experience, performance, and ability. Citizens, its parent, subsidiaries, and related companies (Citizens) provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to age, ancestry, color, citizenship, physical or mental disability, perceived disability or history or record of a disability, ethnicity, gender, gender identity or expression (including transgender individuals who are transitioning, have transitioned, or are perceived to be transitioning to the gender with which they identify), genetic information, genetic characteristic, marital or domestic partner status, victim of domestic violence, family status/parenthood, medical condition, military or veteran status, national origin, pregnancy/childbirth/lactation, colleague’s or a dependent’s reproductive health decision making, race, religion, sex, sexual orientation, or any other category protected by federal, state and/or local laws.

Equal Employment and Opportunity Employer

Citizens is a brand name of Citizens Bank, N.A. and each of its respective affiliates.

Why Work for UsAt Citizens, you'll find a customer-centric culture built around helping our customers and giving back to our local communities. When you join our team, you are part of a supportive and collaborative workforce, with access to training and tools to accelerate your potential and maximize your career growth

Background Check

Any offer of employment is conditioned upon the candidate successfully passing a background check, which may include initial credit, motor vehicle record, public record, prior employment verification, and criminal background checks. Results of the background check are individually reviewed based upon legal requirements imposed by our regulators and with consideration of the nature and gravity of the background history and the job offered. Any offer of employment will include further information.

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