Compliance / Risk Opportunity in Financial Services

Regional Supervision Principal

Location(s): ALL LOCATIONS & REMOTE

Summary:

Advisor Group is seeking a driven and motivated individual to join our Central Supervision Department.  Our selected candidate will be responsible for the review of email and written correspondence, which includes but is not limited to: incoming and outgoing emails, client letters, statements, client reports, etc.  In addition, they will also monitor personal security accounts of financial professionals of the firm to ensure they remain in compliance with stated firm policies.  This position will have a specific regional territory where our candidate will develop and maintain relationships with the financial professionals in the region.  The candidate will help coordinate efforts between other home office staff members to ensure business is processed in accordance with the firm’s policies and procedures to protect the client, the FLS, and the firm.  There will be special projects that can include, but are not limited to: reviewing client statements, assistance with heightened email surveillance, transaction review or other post supervisory reviews.

Responsibilities:

• Ensures proper business and sales practices are followed by the daily review of E-mail and Written Correspondence.
• Monitoring of Personal Security Accounts of financial professionals
• Same Day Trading Review
• Works with financial professionals to address concerns and to educate concerning firm policies.
• Works with management and other supervisory/compliance personnel on escalated sales practice issues.
• Work independently to ensure department deadlines are met and service levels are maintained.
• All other duties as assigned

Education Requirements:

• Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree.  Minimum of high school diploma or equivalent is required. 

Basic Requirements:

• FINRA Series 7, 24 (or S8 or S9/10) are required
• Basic understanding of FINRA and SEC rules regarding communications with the public.
• 2 years+ in a principal capacity
• Ability to effectively handle and prioritize multiple tasks in a fast-paced team environment to meet defined deadlines
• Excellent analytical and problem-solving skills
• Ability to work in a time-sensitive environment and on occasion the ability to work extended hours, as needed.    
• Excellent written and oral communication skills, including the ability to diplomatically find solutions to assist advisors and internal business partners.
• The ability to read and interpret documents including firm policy and procedures and regulatory documents.

Preferred Requirements:

• FINRA Series 63/66 or 65 preferred.
• Currently (or previously) employed at an independent broker-dealer. 

At Advisor Group, we support more than 11,000 financial advisors, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.

Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Advisor Group only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.