General Securities Supervision Principal

1 month ago

san diego, United States Realta Wealth Full time

General Securities Supervision Principal


Realta Wealth

Wilmington, Delaware or San Diego, CA or Remote


Realta Wealth is seeking a dedicated and detail-oriented General Securities Supervision Principal to join our supervisory team. This position plays a key role in maintaining regulatory compliance and ensuring the highest standards of advisor oversight.


This position reports to the Head of Supervision.


 Responsibilities include, but are not necessarily limited to:


  • Maintains ongoing positive relationship with financial professionals in collaboration with the Chief Supervision Officer and senior and fellow staff members.
  • Engages in supervisory office visits and annual practice reviews as assigned.
  • Monitor and perform advertising review
  • Follow up on audit findings and actively addresses potential compliance issues to minimize risk to the client, branch and firm.
  • Monitors, reports and enforces internal controls to ensure compliance with industry standards and the firm’s policies and procedures.
  • Works with financial professionals to address concerns and to educate on supervisory processes.
  • Assists in implementation of policy and procedures for the facilitation of first line supervision on new and existing initiatives.
  • Identifies suspicious patterns of practice, conducts investigations and, based on findings and current guidelines, takes appropriate corrective action as needed in collaboration with the Chief Supervision Officer and Compliance.
  • Development and training of new financial professionals and staff with regards to broker-dealer and RIA policies and procedures for compliance and supervision.
  • Work in conjunction with IT to beta test and provide feedback on new technology used for the Supervision Department and first line supervisors.
  • Coordinates and enforces heightened or special supervision of branch offices or financial professionals as needed.
  • Works on delegated and collaborative cross-functional projects.
  • Research and support operational and business issues in support of financial advisers and firm staff as needed.
  • Establish and maintain effective relationships with business partners and service providers.
  • Performs other duties as required.


Travel required as dictated by above responsibilities.


Qualifications:


  • Bachelor's degree required
  • Minimum 3 years of relevant experience
  • FINRA Series 7 and 24 required, 79 preferred
  • FINRA Series 4, 53, 65/66 preferred
  • Excellent written and verbal communication skills
  • Excellent teamwork and collaboration skills.
  • Proficient with MS Office (Outlook, Word, Excel, PowerPoint)
  • Exhibits integrity, professionalism, practical judgment, positive attitude at all times; exhibits perseverance, leadership, mental toughness and initiative in the face of problems and challenges; must be able to take direction and accept constructive criticism.

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