Regional Supervision Manager (West Coast)
About The Position
In this key position, you will lead and mentor a team of registered principals who supervise and monitor business activities of securities registered representatives and investment adviser representatives affiliated with Principal Securities, Inc. (PSI). You will ensure compliance with FINRA regulations, SEC rules, state laws, and internal policies while maintaining strong supervisory controls. Additionally, you will promote clear communication and relationship building with PSI’s affiliated sales managers and financial professionals. Operating at the intersection of financial services and technology, Principal builds financial tools that help our customers live better lives. We take pride in being a purpose-led firm, motivated by our mission to make financial security accessible to all. Our mission, integrity, and customer focus have made us a trusted leader for more than 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.
- 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
- Manage, supervise, and lead registered principals for an assigned region, coordinating the monitoring of retail-facing Financial Professionals.
- Serve as the main contact in the Supervision Department for the field, field leaders, and supervision-related communications, customer complaints, and business conduct issues.
- Monitor timings and conduct capacity planning to ensure the efficient completion of new business reviews.
- Establish positive relationships with field leaders, financial professionals, and key business partners.
- Provide mentorship on conducting OSJ visits via remote inspection or travel to affiliated branch offices as needed to perform on-site assignments.
- Conduct budget forecasting and expense management for travel and on-site related expenses.
- Supervise and guide the reviews of Outside Business Activities (OBA) and Doing Business As (DBA) disclosures from financial professionals.
- Coordinate quarterly social media reviews and monitoring to ensure they are completed accurately and timely.
- Manage the review and completion of exception and surveillance reports.
- Represent supervision as a subject matter expert in internal business initiatives and manage assigned vendor relationships.
- Supervise all quality control reports, financial representative trends, and any potential heightened supervision 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
Mid Level
Education Level
No Education Listed
