Investments Regional Supervision Principal

Frost Bank•Austin, TX

About The Position

The Investments Regional Supervision Principal ensures branches in an assigned region adhere to company policies and regulatory requirements. The role partners with sales teams, advisors, branch leadership, and Compliance, Risk Management, Legal, and Operations teams to support consistent supervisory practices and identify and mitigate risks. It includes monitoring branch activities and trends, coaching branch personnel, conducting reviews and investigations, preparing management reports, and staying current on regulatory developments. Periodic travel within the assigned region and attendance at in-person meetings, including regular meetings in San Antonio, are required. The position is expected to act with integrity, caring, and excellence.

Requirements

Bachelor's degree in Business, Finance, or a related field, or equivalent experience.
At least 4 years of experience in investment supervision, branch management, compliance, financial services oversight, or a related area.
Strong knowledge of securities products, advisory services, suitability standards, and the regulatory environment.
Demonstrated ability to identify risk, exercise sound judgment, and make supervisory decisions.
Excellent written and verbal communication skills.
Proficiency with Microsoft Office applications.
FINRA Series 7 and Series 65 or 66.
FINRA Series 24 and Series 53 and/or Series 9/10, or ability to obtain within 120 days.
Texas General Lines Agent License: Life, Accident, Health and HMO, or ability to obtain within 90 days.

Nice To Haves

FINRA Series 4.
Experience supervising advisors within an Office of Supervisory Jurisdiction (OSJ), regional supervision, or branch examination environment.
Ability to build collaborative relationships while balancing regulatory requirements with business objectives.

Responsibilities

Provide supervision and oversight of investment branch operations and activities within an assigned region.
Support compliance with FINRA, SEC, state regulatory requirements, and internal policies by partnering with advisors, branch leadership, and sales teams.
Identify, assess, and mitigate regulatory, supervisory, and operational risks in collaboration with Compliance, Risk Management, Legal, and Operations teams.
Monitor branch supervisory activities, performance metrics, and compliance trends; provide coaching, guidance, and regulatory expertise to advisors and branch personnel.
Conduct reviews, investigations, and escalations related to supervisory concerns, client risks, and regulatory matters.
Prepare reports, presentations, and management summaries regarding branch performance, supervisory trends, and risk assessments.
Stay informed about industry developments, regulatory changes, and evolving supervisory expectations.
Travel periodically within the assigned region and attend in-person meetings, including regular meetings in San Antonio.
Take action using Integrity, Caring, and Excellence to achieve all-win outcomes.