Supervisory Principal

5 days ago

San Diego, United States Independent Financial Group Full time

Are you interested in working in a meaningful career? The Supervisory Principal will be responsible for serving as the OSJ/Branch Office Manager for Independent Financial Advisors located nationwide. This role will be responsible for supervising client suitability relative to the appropriateness of transactions ensuring advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the firm. This is a unique opportunity to join our team that is responsible for the supervisory oversight of registered representatives and associated persons under their jurisdiction.

**What You'll Do**
- First-line supervisory responsibility for assigned advisors and OSJ Managers as part of a supervisory team
- Accept new accounts on behalf of the firm
- Review and approval of transactions for suitability and documentation of mutual fund, variable annuity, and alternative investment business
- Performs OSJ license review and transaction review in Gateway, IFG’s electronic account, and trading system.
- Identifies and executes training based on advisor needs and opportunities
- Works with financial professionals to address concerns and to educate concerning firm policies
- Works with management and other supervisory/compliance personnel on escalated sales practice issues
- Work independently to ensure department deadlines are met and service levels are maintained
- Creates and analyzes monthly reports designed to detect transaction-based risk
- Conduct post review of trades for suitability
- Prepares additional Supervision reports as requested
- Develops additional compliance reports as necessary
- Serve on various committees and projects as determined by management.
- All other duties as assigned

**What You’ll Bring**
- Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.
- 4+ years securities industry experience required
- 2+ years compliance, supervision, or surveillance experience required
- FINRA Series 7, 24 (or S9/10) are required
- Knowledge of mutual funds, annuities, general securities, and other financial products required
- Knowledge of FINRA, SEC, and State rules and regulations
- Ability to work in a fast-paced/high volume environment
- Ability to multi-task, strong attention to detail, excellent problem-solving, and follow-up skills are essential for this position
- Ability to make regulatory and supervisory-based decisions will be necessary to complete the day-to-day functions of the role
- Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential
- Exceptional interpersonal and team-building skills
- Excellent verbal and written customer service, telephone, troubleshooting, and communication skills
- Strong customer service skills required
- Possess excellent organizational skills with the flexibility to readily adapt to change
- Must be detailed oriented, able to multi-task, and have the ability to implement projects consistent with established company and customer objectives

**Company Overview
Independent Financial Group (IFG), is an independent broker-dealer based in San Diego, California with over 615 registered representatives located in 375+ offices across 40 states and Puerto Rico. Named one of San Diego’s Fastest-Growing Private Companies and the city’s 12th Largest Privately Held Company in 2020 by the San Diego Business Journal, IFG’s impact has continued to grow since its formation in 2003.

**Benefits**

IFG offers a competitive benefits package with:

- Company-paid Medical, Dental, and Vision
- Paid time off (including all stock market holidays)
- 401k matching
- Professional development reimbursement
- Market-level compensation based on experience

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