General Securities Supervision Principal

3 weeks ago


San Diego, California, United States Realta Wealth Full time
General Securities Supervision Principal

Realta Wealth is seeking a dedicated and detail-oriented General Securities Supervision Principal to join our supervisory team. This position plays a key role in maintaining regulatory compliance and ensuring the highest standards of advisor oversight.

Responsibilities:
  • Maintain ongoing positive relationships with financial professionals in collaboration with the Chief Supervision Officer and senior and fellow staff members.
  • Engage in supervisory office visits and annual practice reviews as assigned.
  • Monitor and perform advertising review.
  • Follow up on audit findings and actively address potential compliance issues to minimize risk to the client, branch, and firm.
  • Monitor, report, and enforce internal controls to ensure compliance with industry standards and the firm's policies and procedures.
  • Work with financial professionals to address concerns and educate on supervisory processes.
  • Assist in implementing policy and procedures for the facilitation of first-line supervision on new and existing initiatives.
  • Identify suspicious patterns of practice, conduct investigations, and take appropriate corrective action as needed in collaboration with the Chief Supervision Officer and Compliance.
  • Develop and train new financial professionals and staff on broker-dealer and RIA policies and procedures for compliance and supervision.
  • Work in conjunction with IT to beta test and provide feedback on new technology used for the Supervision Department and first-line supervisors.
  • Coordinate and enforce heightened or special supervision of branch offices or financial professionals as needed.
  • Work on delegated and collaborative cross-functional projects.
  • Research and support operational and business issues in support of financial advisers and firm staff as needed.
  • Establish and maintain effective relationships with business partners and service providers.

Travel required as dictated by responsibilities.



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