Investments Regional Supervision Principal

Frost • Austin, TX

2d

About The Position

The Investments Regional Supervision Principal oversees regional branch operations and compliance, ensuring branches follow company policies and regulatory guidelines. The role works closely with sales teams to develop and implement strategies that meet compliance requirements, and collaborates with compliance and risk management teams to identify and mitigate risks across the state. The principal monitors branch performance, provides guidance and support, and reports performance to senior management. Periodic travel is required for in-person team meetings. The role 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 managing and supervising 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 it 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 that branches adhere to company policies and regulatory guidelines.
• Identify and mitigate risks within the branches.
• Work with sales teams to develop and implement strategies to achieve compliance requirements.
• Monitor branch performance and provide guidance and support to improve it.
• Prepare reports and presentations to communicate 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.

Benefits

• Medical, dental, vision, long-term disability, and life insurance.
• 401(k) matching.
• Generous holiday and paid time off schedule.
• Tuition reimbursement.
• Health and wellness programs, including an Employee Assistance Program.
• Referral bonus program.

What This Job Offers

• Job Type: Full-time
• Career Level: Principal