Regional Securities Principal
About The Position
The Regional Securities Principal is essential to the overall functionality and efficiency of the Field Supervision Department and will also be involved with production reporting, securities activity, recruiting activity, Regional VP promotions and demotions, hierarchy changes, license status, field audits, leadership branch office visits, office openings and closings, compliance cases, red flag reporting, and other duties as assigned by the VP, Business Control Director. This is a remote position that can be located anywhere in the United States. This position requires up to 25% travel. Estimated salary range for this role is $68K - $78K.
Requirements
- Bachelors’ Degree or equivalent experience in a financial services industry environment, or compliance related role
- 3-5 years relevant business experience
- Series 6, 26, and 63 licenses required, 65 license preferred
- Strong presentation skills
- Flexible and available to travel as needed
- Familiarity with compliance requirements for insurance, securities, and consumer laws
- Demonstrated history of analytical skills, situational judgment, and decision-making ability
- Excellent PC skills with MS Office knowledge and ability to quickly learn and adapt to new software
- Excellent communication skills, written and verbal
- Ability to manage multiple priorities
- Ability to be a self-starter with the ability to manage multiple priorities
- Excellent interpersonal skills
- Ability to communicate mission critical messages in a one-on-one setting with high level field leaders
Nice To Haves
- Fluent in Spanish is a plus
Responsibilities
- Coordinating and assisting with risk identification of all Branch Managers
- Developing and growing an extensive knowledge of all assigned Branch Managers
- Identifying Branch Manager and/or base-shop issues and providing input
Benefits
- Day one health, dental, and vision insurance
- 401(k) Plan with competitive employer match
- Vacation, sick, holiday and volunteer time off
- Life and disability insurance
- Flexible Spending Account & Health Savings Account
- Professional development
- Tuition reimbursement
- Company-sponsored social and philanthropy events
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What This Job Offers
Job Type
Full-time
Career Level
Principal
Number of Employees
1-10 employees
