Regional Supervisory Principal

The Regional Supervisory Principal is responsible for supervising registered representatives, principals, and associated persons of the RIA/broker-dealer. This role also identifies, mitigates, and remediates regulatory risks, and drives awareness and adherence to regulations and firm policies.

Key Responsibilities and Duties

Supervises services personnel and processes to ensure adherence to company compliance guidelines, and industry rules and regulations.

Reviews sales activity utilizing a strong knowledge of products, sales processes, and oversight.

Conducts periodic internal reviews in preparation for compliance or regulatory audits.

Proactively engage business partners across the organization to resolve or escalate issues.

Promote the adoption of controls and compliance through ongoing training, meetings, and consulting activities.

May participate in department initiatives and projects and serve as sub...