Senior Supervisory Principal

2 weeks ago


Phoenix, Arizona, United States TalentBridge Full time

*** REMOTE ***

Major preference for Phoenix area and Charlotte/Fort Mill area

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 one of our prestigious Fortune 500 partners, focusing on either Regional or Complex Product Supervision. In these pivotal positions, you will be tasked with supervising financial advisors and ensuring that all operations and transactions comply with regulatory requirements and internal policies. If you have a profound understanding of the financial services landscape and a commitment to delivering outstanding supervision and mentorship, we welcome your interest.

Position Overview:

As a Supervisory Principal, you will be a vital leader within the organization, ensuring the integrity of financial transactions and offering guidance to advisors and internal teams. Whether you are a Regional Supervisory Principal managing front-line supervisory functions or a Complex Product Supervisory Principal acting as a subject matter expert, your responsibilities 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, evaluating and approving financial transactions in line with regulatory and company standards.
  • Act as a mentor and primary resource for team members, providing insights on supervisory challenges and best practices.
  • Identify and report potential sales practice issues to the Regional Supervisory Principal or Complex Product Supervision team.
  • Serve as a subject matter expert in intricate financial products, including life insurance, annuities, structured products, and alternative investments.
  • Ensure that advisors adhere to the supervision standards mandated by regulatory authorities and the firm.
  • Oversee and fulfill tasks within established Service Level Agreements while maintaining a high quality of work.
  • Collaborate with internal and external stakeholders to address supervisory issues and enhance compliance initiatives.
  • Develop and implement risk management strategies to mitigate potential regulatory challenges.
  • 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.
  • Thorough knowledge of life insurance, mutual funds, annuities, general securities, alternative investments, and other financial products.
  • Familiarity with FINRA, SEC, and state regulations.
  • Strong focus on customer service 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 one of the leading professional recruiting firms in the nation, TalentBridge successfully connects thousands of candidates with their ideal positions each year. We are dedicated to aligning individuals with their professional aspirations, emphasizing the importance of building relationships based on open communication and integrity. Our collaborative approach extends to both our internal teams and the candidates we represent, ensuring a vested interest in their success.

At TalentBridge, we prioritize personal connections, striving to understand the individual behind the resume to facilitate the best job matches. Our commitment to excellence has earned us recognition as a Top Workplace, reflecting our dedication to fostering a supportive and effective recruiting environment.

Our Proven Process:

We adhere to a disciplined, proven methodology that ensures successful matches between high-quality candidates and top-performing companies. This process begins with a comprehensive understanding of your skills and experiences, followed by an exploration of your passions, which ultimately helps us identify your purpose. Our approach transcends the traditional resume review, focusing on cultivating relationships to optimize success in your job search.



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