Regional Supervisory Principal
3 days ago
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.
- 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.
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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Regional Supervisory Principal
3 days ago
Woburn, Massachusetts, United States Citizens Full timeJob SummaryCitizens 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 their assigned team members, ensuring they meet regulatory standards and firm policies.Key ResponsibilitiesDirect...
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Regional Supervisory Principal
4 days ago
Woburn, Massachusetts, United States Citizens Full time{"Key Responsibilities": "As a Regional Supervisory Principal at Citizens, you will be responsible for providing direct supervision of Registered Representatives within the designated geographic region(s). Your primary function will be to maintain ongoing relationships with your assigned Registered Representatives to educate, guide, and ensure they meet the...
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Regional Supervisory Principal
4 days ago
Woburn, Massachusetts, United States Citizens Full time{"Key Responsibilities": "Key ResponsibilitiesProvide direct supervision to Registered Representatives (RRs) within the designated geographic region(s).Ensure RRs understand and comply with firm and industry requirements by communicating policies and procedures.Conduct regular branch exams as required in the Written Supervisory Procedures (WSP).Respond to...
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Vice President of Regional Operations
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Vice President of Regional Operations
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Woburn, Massachusetts, United States Northern Bank Full timeJob OverviewNorthern Bank is a prominent financial institution committed to delivering outstanding banking solutions to our esteemed clientele. With a robust dedication to excellence and community involvement, we have built a strong reputation in the financial sector. Our core mission is to empower and assist businesses in their growth trajectories. Northern...
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Vice President of Regional Operations
3 weeks ago
Woburn, Massachusetts, United States Northern Bank Full timeJob OverviewNorthern Bank is a prominent financial institution committed to delivering outstanding banking solutions to our esteemed clientele. With a strong dedication to excellence and community involvement, we have built a robust reputation in the financial sector. Our core mission is to empower and assist businesses in their development journeys....
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Project Manager for Commissioning Services
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Project Manager for Commissioning Operations
3 weeks ago
Woburn, Massachusetts, United States EDI Staffing Full timePosition Overview:This is a full-time direct hire role.Role Summary:The Commissioning Project Manager is a seasoned engineer responsible for the comprehensive oversight of projects. This includes defining project parameters, ensuring compliance with contractual obligations, coordinating activities, and delivering projects within established timelines and...
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Regional Supervisory Principal
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Woburn, United States Citizens Full timeDescriptionPrimary FunctionThe primary function of the Regional Supervisory Principal is to provide direct supervision of Registered Representatives (Financial Advisors, Private Client Relationship Mangers, Investment Assistants) within the designated geographic region(s). The Regional Supervisory Officer will maintain ongoing relationships with their...
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Regional Supervisory Principal
4 days ago
Woburn, United States Citizens Full timeJob DescriptionDescriptionPrimary FunctionThe primary function of the Regional Supervisory Principal is to provide direct supervision of Registered Representatives (Financial Advisors, Private Client Relationship Mangers, Investment Assistants) within the designated geographic region(s). The Regional Supervisory Officer will maintain ongoing relationships...
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VP, Regional Manager
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Woburn, United States Northern Bank Full timeJob DescriptionJob DescriptionNorthern Bank is a leading financial institution dedicated to providing exceptional banking services to our valued customers. With a strong commitment to excellence and a focus on community engagement, we have established a solid reputation in the financial industry. Our primary mission is to empower and support businesses...
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Commissioning Project Manager
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Customer Service Supervisor
1 month ago
Woburn, United States SBLI Full timeSBLI Life Insurance is seeking an experienced, innovative, Customer Service Supervisor to lead our team and optimize how we service our policyholders. The successful candidate will be responsible for setting/achieving servicing requirements, analyzing/optimizing department processes, and overseeing the daily operations of a Customer Service team, including...
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Commissioning Project Manager
3 weeks ago
Woburn, United States EDI Staffing Full timeThis is a fulltime direct hire position and is onsite in Woburn, MAJob Summary:The Commissioning Project Manager is an experienced engineer who has overall supervision of a project by defining the project, making sure it conforms to the contractual agreement the firm has made to the client, coordinating, and monitoring the work, and delivering a final...
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Commissioning Project Manager
1 month ago
Woburn, United States EDI Staffing Full timeThis is a fulltime direct hire position and is onsite in Woburn, MAJob Summary:The Commissioning Project Manager is an experienced engineer who has overall supervision of a project by defining the project, making sure it conforms to the contractual agreement the firm has made to the client, coordinating, and monitoring the work, and delivering a final...
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Commissioning Project Manager
2 weeks ago
Woburn, United States EDI Staffing Full timeThis is a fulltime direct hire position and is onsite in Woburn, MAJob Summary:The Commissioning Project Manager is an experienced engineer who has overall supervision of a project by defining the project, making sure it conforms to the contractual agreement the firm has made to the client, coordinating, and monitoring the work, and delivering a final...
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