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Lead Supervisory Principal

2 months ago

Phoenix, Arizona, United States TalentBridge Full time

*** REMOTE ***

Preference for candidates in the Phoenix and Charlotte/Fort Mill regions

Available Roles in Regional and Complex Supervision

Are you an accomplished professional in the financial services sector with extensive experience in oversight and regulatory adherence? We are in search of skilled Supervisory Principals to enhance the team of a prestigious Fortune 500 organization, focusing on either Regional or Complex Product Supervision. In these pivotal positions, you will oversee financial advisors and ensure that all transactions and operational practices comply with regulatory requirements and corporate policies. If you have a profound understanding of the financial services landscape and are dedicated to providing exceptional oversight and mentorship, we welcome your interest.

Position Summary:

As a Supervisory Principal, you will be a vital leader within the organization, ensuring the appropriateness of financial dealings and offering guidance to advisors and internal teams. Whether serving as a Regional Supervisory Principal managing front-line supervisory responsibilities or as a Complex Product Supervisory Principal acting as a subject matter expert, your role will encompass collaboration, risk management, and proactive consultation. You will be instrumental in upholding the high standards of compliance and supervision that our firm is known for.

Key Responsibilities:

  • Perform front-line supervisory functions, reviewing and approving financial transactions in line with regulatory and corporate standards
  • Act as a mentor and primary resource for team members, providing insights on supervisory matters and best practices
  • Report potential sales practice issues to the Regional Supervisory Principal or Complex Product Supervision team
  • Serve as a subject matter expert in complex financial products, including life insurance, annuities, structured products, and alternative investments
  • Ensure that advisors adhere to the supervision standards mandated by regulatory bodies and the organization
  • Manage and execute tasks within established Service Level Agreements while maintaining high-quality standards
  • Collaborate with internal and external stakeholders to address supervisory challenges and enhance compliance initiatives
  • Develop and implement risk management strategies to mitigate potential regulatory risks
  • Lead or contribute to centralized review processes and business models, ensuring compliance across various channels

Qualifications:

  • Bachelor's degree in Business, Accounting, Finance, or a related field
  • 7+ years of experience in the financial services or brokerage industry
  • Proficiency in Microsoft applications, including Excel, Word, Access, PowerPoint, and Visio
  • In-depth knowledge of life insurance, mutual funds, annuities, general securities, alternative investments, and other financial products
  • Familiarity with FINRA, SEC, and state regulations
  • Focus on Customer and Risk Management

Licensing Requirements:

  • FINRA Series 7 and 24 required (Series 9 and 10 may substitute for Series 24)
  • Series 66 (or 63 and 65) required
  • Series 4 and 53 (or must pass within 120 days of employment for candidates with S24)

Compensation:

  • $40 - $43 /hr

Work Schedule:

  • Monday - Friday

About TalentBridge:

As a leading professional recruiting firm, TalentBridge successfully connects thousands of candidates with their ideal positions each year. We are dedicated to aligning individuals with their purpose, prioritizing relationships built on open communication and integrity. Our collaborative approach extends to both our internal team and the candidates we represent, fostering a supportive environment for professional and personal success.

Our proven process emphasizes understanding each candidate's skills and passions, ensuring a comprehensive match with high-performance companies. This process values relationships over transactions, optimizing success in the job search journey.