Investments Regional Supervision Principal

Frost Bank•Austin, TX

12d

About The Position

The Investments Regional Supervision Principal oversees the operations and compliance of regional branches, ensuring they follow company policies and regulatory guidelines. The role works closely with sales teams to develop and implement compliance strategies, monitors branch performance, and provides guidance to improve results. It also collaborates with compliance and risk management teams to identify and mitigate risks, communicates performance to senior management, and stays current on industry developments and regulations. Periodic travel for in-person team meetings is required. The position is expected to act with integrity, caring, and excellence.

Requirements

Bachelor’s degree in business administration, finance, or a related field, or equivalent experience.
At least 4 years of experience in management and supervision of financial services branches.
Strong knowledge of financial products, services, and the regulatory environment.
Excellent written and verbal communication skills.
Proficiency in Microsoft computer applications.
FINRA Series 7 and Series 65 or 66.
FINRA Series 24 or Series 9/10; if Series 24 is held, Series 53 is required, or the ability to obtain the required qualification within 120 days of employment.
Texas General Lines Agent License: Life, Accident, Health and HMO, or the ability to obtain it within 90 days.

Nice To Haves

FINRA Series 4.

Responsibilities

Oversee the operations and compliance of the company's regional branches.
Ensure branches adhere to company policies and regulatory guidelines.
Identify and mitigate risks within branches.
Work with sales teams to develop and implement strategies to achieve compliance requirements.
Monitor branch performance and provide guidance and support to improve performance.
Prepare reports and presentations communicating branch performance to senior management.
Stay current with industry developments and regulations.
Collaborate with compliance and risk management teams to identify and mitigate risks.
Travel periodically for in-person team meetings.
Take action using integrity, caring, and excellence to achieve all-win outcomes.