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Regional Supervisory Principal

2 months 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 their assigned team members, ensuring they meet regulatory standards and firm policies.

Key Responsibilities
  • Direct supervision of Registered Representatives, providing guidance, advice, and training to ensure compliance with regulatory agencies and firm policies.
  • Conduct regular branch exams to ensure adherence to Written Supervisory Procedures (WSP).
  • Respond to findings from Compliance/Internal Audit branch exams and identify areas for improvement.
  • Develop and execute training programs based on team member needs.
  • Monitor reports and systems, taking proactive measures as needed.
  • Assist in resolving heightened transaction review and other situations from the Principal Review Desk.
  • Review and approve/deny written correspondence with the public, ensuring compliance with regulations and firm policies.
  • Refer regulatory/firm violations, sales practice issues, and recommend heightened supervision as needed.
  • Maintain comprehensive knowledge of key industry topics, internal programs, regulatory requirements, and firm policies.
  • Identify suspicious patterns in sales and business practices, conducting investigations and taking corrective action as needed.
  • Support Home Office supervisors in general supervision of Registered Representatives.
  • Actively promote awareness and compliance with policies and procedures through consistent communication with the assigned region.
  • Participate in special projects as requested by Management.
Requirements
  • 7+ years of advisory or brokerage experience, preferably in compliance, field management/supervision.
  • Bachelor's degree.
  • 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 is a customer-centric organization built around helping our customers and giving back to our local communities. As a member of our team, you'll find a supportive and collaborative workforce, with access to training and tools to accelerate your potential and maximize your career growth.