Regional Supervisory Principal

TIAA•Charlotte, NC

2d•Onsite

About The Position

The Regional Supervisory Principal is responsible for supervising registered representatives, principals, and associated persons of the RIA/broker-dealer. This role also identifies, mitigates, and remediates regulatory risks, and drives awareness and adherence to regulations and firm policies.

Requirements

5+ Years Required
FINRA Registrations SRC Indicator: Series 7; Series 24; Series 65 & Series 66 preferred
Physical Requirements: Sedentary Work
Ideal candidate possesses detailed research skills and is naturally curious
Experience with Excel
Knowledge of enterprise operations with high resolve and strong relationship management skills

Nice To Haves

University (Degree) Preferred
7+ Years Preferred
Series 65 & Series 66 preferred

Responsibilities

Supervises services personnel and processes to ensure adherence to company compliance guidelines, and industry rules and regulations.
Reviews sales activity utilizing a strong knowledge of products, sales processes, and oversight.
Conducts periodic internal reviews in preparation for compliance or regulatory audits.
Proactively engage business partners across the organization to resolve or escalate issues.
Promote the adoption of controls and compliance through ongoing training, meetings, and consulting activities.
May participate in department initiatives and projects and serve as subject matter expert in business initiatives.