Supervisory Principal

3 weeks ago

Cleveland, United States Signature Estate & Investment Advisors, LLC Full time
Job DescriptionJob Description

JOB DESCRIPTION

JOB TITLE: Supervisory Principal

EMPLOYER: Signature Estate and Investment Advisors

DEPARTMENT: Compliance Department


LOCATION: Cleveland, Ohio

REPORTS TO: Chief Compliance Officer

EFFECTIVE DATE: 5/1/2024

SUMMARY:

The Supervisory Principal will play a pivotal role in overseeing and ensuring compliance within the Midwest Region and the firm in general. The individual will be responsible for trade review and suitability, advertising review, maintaining a strong understanding of annuities and life insurance, and effectively communicating with advisors. The candidate should be well-versed in FINRA Rule 3120 and 3130 and be adept at dealing with OFAC and FinCEN regulations. While the primary focus will be on BD compliance, the role also requires contributing to RIA compliance efforts. This dual responsibility demands a flexible, knowledgeable individual who can manage diverse compliance requirements effectively.

DUTIES AND RESPONSIBILITIES:

Task will include but will not be limited to:

  • Responsible for holding the role and responsibilities of the Person In-Charge for the Midwest Region

  • Conducting trade review and ensuring suitability of recommendations.

  • Reviewing and approving advertising and sales literature in compliance with regulatory requirements.

  • Strong understanding of annuities, life insurance products, and other BD products to aid in the pre-approval of annuities and life insurance products

  • Ensuring adherence to OFAC and FinCEN guidelines and implementing associated compliance procedures.

  • Communicating effectively with advisors, providing guidance, and addressing inquiries regarding compliance matters.

  • Implementing and maintaining procedures and controls to ensure compliance with FINRA Rule 3120 and 3130.

  • Conducting regular reviews and audits to identify and mitigate compliance risks.

  • Staying abreast of new and changing regulatory requirements, providing assessments on how they apply to our business and developing written policies and procedures to update the supervision manuals. Other related document creation.

  • Enforce the Policies & Procedures and Written Supervisory Procedures across the business.

  • Perform supervision within queues with regards to transaction, account, correspondence & client record reviews.

SUPERVISORY RESPONSIBILITIES:

  • This role does not have management responsibilities.

QUALIFICATIONS:

  • This role is an in office

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