Supervision Principal, Electronic Communications Supervision

Advisor Group•Scottsdale, AZ

10d•$60,000 - $70,000•Hybrid

About The Position

The Supervision Principal position is focused on carrying out supervisory responsibilities related to electronic communications of the firm’s Financial Professionals to ensure compliance with regulatory standards and internal policies. The ideal candidate is proactive in identifying and mitigating risks and thrives in a collaborative environment. Outlined below are the primary responsibilities associated with this position. Due to the dynamic nature of the regulatory environment and the ongoing evolution of the firm, job duties and specific assignments may change as business needs require.

Requirements

FINRA Series 7, 24 (or 9/10) are required
Basic understanding of FINRA and SEC rules regarding communications with the public
Ability to effectively handle and prioritize multiple tasks in a fast-paced environment to meet defined deadlines
Strong analytical and problem-solving skills
Ability to work in a time-sensitive environment
Excellent written and oral communication skills, including the ability to diplomatically find solution to assist Financial Professionals and internal business partners
Ability to read and interpret documents, including firm policy/procedures and regulatory documents

Nice To Haves

2+ years’ experience in a Principal capacity
63/65 or 66 preferred
Currently or previously employed at an independent broker-dealer

Responsibilities

Review of electronic communications for the financial professionals, including emails, text messages, and Teams messages
Works with financial professionals to address concerns and to educate concerning firm policies
Works with management and other supervision/compliance personnel on escalated issues
Work independently to ensure department deadlines are met and service levels are maintained
Develop and maintain ongoing relationships with team members, internal business partners, and Financial Professionals
Participate in ongoing training to develop proficiency and expertise in supervision systems and ability to identify areas of risk in communications