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Regional Supervisory Principal

2 months 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 standards and requirements set forth by regulatory agencies and firm policies and procedures.

Key responsibilities include:

  • Direct supervision of Registered Representatives for the broker dealer, providing guidance, advice, and training.
  • Ensuring Registered Representatives' understanding and compliance with all firm and industry requirements by proactively communicating the firm's policies and procedures.
  • Conducting regular branch exams as required in the Written Supervisory Procedures (WSP).
  • Responding to findings from Compliance/Internal Audit branch exams.
  • Identifying and executing trainings based on Registered Representative need.
  • Actively monitoring available reports/systems and taking action as needed.
  • Assisting in the resolution of heightened transaction review and other situations from the Principal Review Desk.
  • Reviewing and approving/denying written correspondence/communication with the public in accordance with regulations and firm policies.
  • Referencing and providing input to Compliance on regulatory/firm violations, sales practice issues, recommending and monitoring heightened supervision as needed.
  • Reviewing and approving/denying Outside Business Activity.
  • Maintaining Office of Supervisory Jurisdiction (OSJ) as required by the WSP.
  • Maintaining comprehensive knowledge of key industry topics, internal programs, regulatory requirements, and firm policies and procedures.
  • Identifying suspicious patterns in sales and business practices. Conducting investigations and taking appropriate corrective action as needed in collaboration with Regional Sales Managers and other internal business units.
  • Supporting Home Office supervisors in the general supervision of Registered Representatives.
  • Actively promoting awareness and compliance with policies and procedures through consistent and proactive communication with assigned region.
  • Participating in special projects as requested by Management.
  • Working in a hybrid work environment (currently one day a week in office, subject to change).

Qualifications

Required Skills

  • In-depth knowledge of FINRA, SEC, and state rules and regulations.
  • Self-reliance and ability to carry out duties and responsibilities with minimal direct supervision.
  • Ability to make regulatory and supervisory-based decisions in a fast-paced/high-volume environment.
  • Strong leadership skills and ability to influence.
  • Strong conflict management and problem-solving skills.
  • Excellent written and oral communication and interpersonal skills.
  • Organizational skills and ability to prioritize multiple priorities.
  • Ability to travel within region at least 25% of time.
  • Proficiency in MS Office projects.

Experience

  • Bachelor's degree.
  • 7+ years of advisory or brokerage experience, preferably in compliance, field management/supervision.
  • Licenses/Certifications required: FINRA Series 7, 24, 65/66, Resident Life, Health, Accident, and Variable Insurance.
  • Certified Retirement Counselor (preferred).
  • Prior management experience a plus.

At Citizens, we value diversity, equity, and inclusion, and treat everyone with respect and professionalism. Employment decisions are based solely on experience, performance, and ability. Citizens, its parent, subsidiaries, and related companies (Citizens) provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to age, ancestry, color, citizenship, physical or mental disability, perceived disability or history or record of a disability, ethnicity, gender, gender identity or expression (including transgender individuals who are transitioning, have transitioned, or are perceived to be transitioning to the gender with which they identify), genetic information, genetic characteristic, marital or domestic partner status, victim of domestic violence, family status/parenthood, medical condition, military or veteran status, national origin, pregnancy/childbirth/lactation, colleague's or a dependent's reproductive health decision making, race, religion, sex, sexual orientation, or any other category protected by federal, state, and/or local laws.

Equal Employment and Opportunity Employer

Citizens is a brand name of Citizens Bank, N.A. and each of its respective affiliates.

Background Check

Any offer of employment is conditioned upon the candidate successfully passing a background check, which may include initial credit, motor vehicle record, public record, prior employment verification, and criminal background checks. Results of the background check are individually reviewed based upon legal requirements imposed by our regulators and with consideration of the nature and gravity of the background history and the job offered. Any offer of employment will include further information.

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