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Supervisory Principle

Job Type : Temp/Contract
Compensation : 50.72 USD/HOUR
Hours : Full Time
Travel : No
Relocation : No
Industry : Brokerage

Job Description :

The Principal will be responsible for completing certain supervisory tasks on a daily basis. Great emphasis will be placed upon completing tasks according to the established Service Level Agreements and at high level of quality. Some of these supervisory tasks will be required to be reviewed to best interest standards.
Essential Functions:
• Review and approval of account documentation
• Suitability and/or fiduciary review of securities transaction via the trade blotter
• Review of manual back-end reports
• Review brokerage alerts via the OSJ Review Tool
• Review of advisory account alerts
• Review Non-Electronic Correspondence
Other Job Duties:
• Work within a team environment to identify potential sales practice concerns or fiduciary standard violations
• Provide consultative support to clients 


Required Qualifications :
Undergraduate degree in Business, Accounting, Finance or related discipline.
• 4+ year’s industry experience
• Licenses/Certifications Required: Series 7, Series 66, Series 9 and 10 (or Series 24, 4 & 53)
• Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, SharePoint, and Visio. Familiarity with BETA a plus
Additional Requirements:
• Knowledge of mutual funds, annuities, general securities, and other financial products required
• Knowledge of FINRA, SEC, and State rules and regulations required
• Knowledge of the DOL Fiduciary Rule a plus
• Ability to work in a fast paced/high volume environment and be flexible with work schedule
• Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position
• Excellent oral and written communication skills
• Ability to make regulatory and supervisory-based decisions will be necessary to complete the day-to-day functions of the role
• Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential
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