Lead 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 looking for skilled Supervisory Principals to become part of the workforce of one of our distinguished Fortune 500 clients, in either a Regional or Complex Product Supervisory role. In these pivotal positions, you will be tasked with supervising financial professionals and ensuring that all operations and business practices conform to regulatory requirements and corporate policies. If you have a robust understanding of the financial services landscape and are dedicated to delivering outstanding supervision and mentorship, we invite you to consider this opportunity.

Position Overview:

As a Supervisory Principal, you will act as a vital leader within the organization, ensuring the validity 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 serving as a subject matter expert, your responsibilities will encompass collaboration, risk management, and a proactive approach to consultation. You will be instrumental in upholding the high standards of compliance and supervision that our firm maintains.

Key Responsibilities:

  • Perform front-line supervisory duties, reviewing and approving financial transactions in line with regulatory and corporate standards
  • Act as a mentor and essential resource for team members, providing insights on supervisory matters and best practices
  • 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 comply with the supervision standards mandated by regulatory bodies and the firm
  • Oversee and complete tasks within established Service Level Agreements while maintaining a high quality of work
  • Collaborate with internal and external partners to address supervisory issues and enhance compliance initiatives
  • Develop and implement risk management strategies to mitigate potential regulatory challenges
  • Lead or participate in 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
  • Focus on Customer 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

TalentBridge -- Connecting People with Their Purpose

As one of the nation's leading professional recruiting companies, TalentBridge successfully places thousands of candidates in their dream jobs every year.

At TalentBridge, we're passionate about connecting people with their purpose, and we go above and beyond to be the trusted partner to the people we serve. We value relationships over transactions – relationships grounded in open communication and honesty. We're built on collaboration and teamwork — both with internal team members and with each and every candidate we represent. And that goes beyond a vested interest in your professional success, to rooting for your personal success.

We're not just another staffing company churning and burning our way through candidates. Our seasoned recruiting professionals love what they do – the Charlotte Observer named us a Top Workplace two years running – and they're great at it

We know success begins with personal connections, so we work hard every day to get to know the person behind the resume so we can help our candidates find the best job, not just a job.

That's a fantastic reason to get out of bed every morning, and we're excited to share it with an expanding team.

Proven Process

We follow a disciplined, proven process to help ensure success in matching high-quality candidates with high-performance companies. It starts with an in-depth understanding of your skills and experience. It continues with a deep dive into your passions which, in turn, help us to find your purpose. It's a process that goes well beyond your resume – one that values relationships over transactions in order to optimize success in your job search.

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