Supervisiory Principal

Be a part of the team behind our success!  At Advisor Group, we support more than 5,000 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.

Regional Supervision Opportunity in Financial Services

Supervisory Principal


Location:          7755 Third St. North  Oakdale, MN  55128

Summary:

The Supervisory Principal is responsible for the review of brokerage and directly-held transactions as pre-review or within the back-office systems; ensure those transactions are suitable based on stated firm policies and procedures.  This position will have a specific regional territory responsible for developing and maintaining relationships with the financial advisors within the region.

The Supervisory Principal 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 firm and the Field Supervisor.

Keys:    suitability analysis, compliance    

Responsibilities:

  • Ensures proper business and sales practices are followed by the daily review of brokerage and directly-held transactions.
  • Performs suitability review of securities products, including variable annuities and alternative investments.
  • Works with advisors to address concerns and to educate concerning firm policies and procedures.
  • 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.
  • Provide extraordinary customer service to Woodbury representatives, handle incoming calls and respond to questions.
  • 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 Required
  • Two or more years of related experience conducting suitability review of transactions.
  • Thorough knowledge of securities products (i.e. mutual funds, variable annuities, alternative investments and individual securities), compliance requirements, as well as the broker/dealer industry.
  • Understanding of relevant FINRA and SEC rules and regulations concerning transaction suitability.
  • 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.
  • Excellent written and oral communication skills, including the ability to diplomatically find solutions to assist advisors and internal business partners.

Preferred Requirements:

  • FINRA 24 preferred, must be obtained within three months of hire.
  • FINRA Series 4 & 53 preferred.