Home Office Supervision Manager
About The Position
In this role, you will lead and mentor supervisors who manage the activities of securities registered representatives and investment adviser representatives at Principal Securities, Inc. (PSI). You will ensure full adherence to FINRA regulations, SEC rules, state laws, and internal policies while maintaining robust supervisory controls. You will also promote clear communication and develop cooperative relationships with PSI’s affiliated managers and financial professionals. Working at the junction of financial services and technology, Principal delivers financial tools that enable our customers to live better lives. We take pride in being a mission-focused firm, propelled by our objective to make financial security accessible to everyone. Our mission, integrity, and customer concentration have made us a reliable leader for over 140 years!
Requirements
- 10+ years of financial services industry experience with roles in Broker-Dealer/RIA supervision, compliance, or risk management.
- Minimum of 5 years management experience.
- Active Securities licenses: FINRA Series 7, 24, 66 (63+65).
- Series 4, 53 and insurance licenses to be acquired within 12 months.
- Demonstrated coaching and leadership skills.
- Strong verbal and written communication skills and public speaking skills.
- Advanced analytical skills, including the ability to interpret data, identify trends, evaluate risks, and develop sound recommendations.
- Self‑starter with a high degree of initiative.
- Solid understanding of general securities, managed account platforms and insurance products, as well as Investment Adviser’s Act of 1940 and FINRA regulations.
- Business travel as needed, 10 to 20%.
Responsibilities
- Coordinate, manage, and support a team of supervisors assigned to monitor the broker-dealer and RIA supervision program.
- Serve as the main contact in the Supervision Department for financial professionals and managers, addressing compliance and supervision-related communications, customer complaints, and business conduct issues.
- Assist in developing a shared services model of supervisory oversight.
- Establish positive relationships with managers, registered representatives, investment adviser representatives, and key business partners.
- Guide supervisors in conducting on-site supervisory examinations and provide oversight on compliance matters.
- Lead the review and approval process for new financial professional candidates, home office registered personnel, and non-retail registered representatives.
- Supervise tasks related to Outside Business Activities (OBA), Private Security Transactions (PSTs), Private Securities Accounts (PSAs), disclosures/updates to U-4s, and advanced email reviews.
- Coordinate the review of new business for house accounts and monitor transactions related to these accounts.
- Provide ongoing, individualized supervision and compliance mentoring to supervisors and financial professionals, ensuring availability for questions and brought up issues.
- Perform other job-related duties and special projects as assigned.
Benefits
- Flexible Time Off (FTO) is provided to salaried (exempt) employees and provides the opportunity to take time away from the office with pay for vacation, personal or short-term illness. Employees don’t accrue a bank of time off under FTO and there is no set number of days provided.
- Pension Eligible
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What This Job Offers
Job Type
Full-time
Career Level
Manager
Education Level
No Education Listed
