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Lead Supervisory Principal

2 months ago

Phoenix, Arizona, United States TalentBridge Full time

*** REMOTE ***

Preference for candidates in the Phoenix and Charlotte/Fort Mill regions

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 qualified Supervisory Principals to become integral members of a prestigious Fortune 500 organization, focusing on either Regional or Complex Product Supervision. In these pivotal positions, you will be tasked with supervising financial advisors and ensuring that all transactions and operational practices conform to regulatory requirements and corporate policies. If you have a profound knowledge of the financial services landscape and a commitment to providing outstanding supervision and guidance, we invite you to consider this opportunity.

Position Summary:

As a Supervisory Principal, you will be a vital leader within the organization, responsible for validating the appropriateness of financial transactions and offering direction to advisors and internal teams. Whether you serve as a Regional Supervisory Principal managing front-line supervisory responsibilities or as a Complex Product Supervisory Principal acting as a subject matter expert, your role will encompass collaboration, risk management, and proactive consultation. You will be essential in upholding the high standards of compliance and supervision that our firm is known for.

Key Responsibilities:

  • Perform front-line supervisory functions, evaluating and authorizing financial transactions in line with regulatory and corporate standards.
  • Act as a mentor and essential 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 comply with the supervision standards mandated by regulatory authorities and the organization.
  • Oversee and complete tasks within established Service Level Agreements while maintaining exceptional quality.
  • Collaborate with internal and external stakeholders to address supervisory issues and enhance compliance initiatives.
  • Develop and implement risk management strategies to minimize potential regulatory risks.
  • 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.
  • In-depth 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 a leading professional recruiting firm, TalentBridge successfully connects thousands of candidates with their ideal roles each year. We are dedicated to aligning individuals with their career aspirations, prioritizing relationships over transactions, and fostering open communication and trust. Our collaborative approach extends to both our internal teams and the candidates we represent, ensuring a vested interest in their professional and personal success.

Our proven process emphasizes understanding your skills and passions, enabling us to find the right fit for your career journey. We value the human connection and strive to help candidates discover not just any job, but the right job for them.