Regional Supervisory Principal

3 days ago


Woburn, Massachusetts, United States Citizens Full time
Job Summary

Citizens is seeking a highly skilled Regional Supervisory Principal to provide direct supervision of Registered Representatives within a designated geographic region. The successful candidate will maintain ongoing relationships with assigned representatives, ensuring they meet regulatory standards and firm policies.

Key Responsibilities
  • Direct supervision of Registered Representatives, providing guidance, advice, and training.
  • Ensure representatives' understanding and compliance with firm and industry requirements.
  • Conduct regular branch exams and respond to findings from Compliance/Internal Audit.
  • Identify and execute trainings based on representative need.
  • Actively monitor reports and systems, taking necessary actions.
  • Assist in resolving heightened transaction review and other situations.
  • Review and approve/deny written correspondence with the public.
  • Refer to Compliance on regulatory/firm violations and sales practice issues.
  • Maintain comprehensive knowledge of industry topics, internal programs, and firm policies.
  • Identify suspicious patterns in sales and business practices, conducting investigations and taking corrective action as needed.
Requirements
  • Bachelor's degree.
  • 7+ years of advisory or brokerage experience, preferably in compliance or field management/supervision.
  • Licenses/Certifications: FINRA Series 7, 24, 65/66, Resident Life, Health, Accident, and Variable Insurance.
  • Certified Retirement Counselor (preferred).
  • Prior management experience a plus.
Why Work for Citizens

Citizens values diversity, equity, and inclusion, treating everyone with respect and professionalism. Employment decisions are based solely on experience, performance, and ability.



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