Supervisory Principal

5 days ago


San Diego, California, United States Independent Financial Group Full time
Job Summary

Independent Financial Group is seeking a highly skilled and experienced Supervisory Principal to join our team. As a key member of our financial services team, you will be responsible for providing first-line supervisory support to assigned advisors and OSJ Managers.

Key Responsibilities
  • Supervisory Support: Provide guidance and oversight to assigned advisors and OSJ Managers to ensure compliance with regulatory requirements and company policies.
  • Transaction Review: Review and approve transactions for suitability and documentation of mutual fund, variable annuity, and alternative investment business.
  • Reporting and Analysis: Create and analyze monthly reports to detect transaction-based risk and identify areas for improvement.
  • Compliance and Risk Management: Conduct post-review of trades for suitability and prepare additional supervision reports as requested.
  • Team Collaboration: Serve on various committees and projects as determined by management and contribute to the development of additional compliance reports as necessary.
Requirements
  • Education: Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree.
  • Experience: Minimum of 4+ years securities industry experience, with 2+ years compliance, supervision, or surveillance experience.
  • Certifications: FINRA Series 7, 24 (or S9/10) are required.
  • Skills: Knowledge of mutual funds, annuities, general securities, and other financial products, as well as FINRA, SEC, and State rules and regulations.
What We Offer
  • Competitive Compensation: Market-level compensation based on experience.
  • Benefits Package: Company-paid medical, dental, and vision benefits, 401(k) matching, and free on-site fitness center.
  • Professional Development: Opportunities for growth and development within the company.


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