Supervisory Principal
BOK Financial•Oklahoma City, OK
•Onsite
About The Position
The Supervisory Principal is responsible for supervising the sales activities of advisors as assigned. Other responsibilities include regular communication with advisors and sales managers regarding compliance regulations and serving as a subject matter expert on compliance questions and issues related to supervision and OSJ responsibilities. Educating advisors and administrative staff on supervisory procedures will also be an important part of this role’s responsibilities.
Requirements
- Completion of a Bachelor’s degree, professional certification/licensing in securities and 5+ years of experience in supervision or 9-11 years of equivalent work related experience in a broker/dealer or Office of Supervisory Jurisdiction location.
- FINRA Series 7, 24
- Supervision or compliance experience in an Office of Supervisory Jurisdiction or Broker/Dealer in a senior role
- Thorough understanding of securities products, including annuities (variable, fixed, group and equity indexed), non-traditional alternative and illiquid products, and managed account programs
- Working knowledge of securities regulations (FINRA, MSRB, and SEC)
- Conflict management and decision making skills
- Excellent oral and written communication skills
- Excellent PC skills including Microsoft Office (Word and Excel)
- Strong quantitative and analytical skills (statistics, database management, mathematical relationships, and logic)
Nice To Haves
- Series 65 or 66, Series 53 (or their equivalent). Series 53 may be offered as a 90 day condition of employment.
Responsibilities
- Review and supervise sales activities including the review of new business, trades, new accounts, emails and complex product purchases
- Develop any required training and criteria necessary for advisors monitoring their progress closely until supervision is no longer required
- Participate in day to day supervision of special projects, procedures and reviews requested by the Manager of Supervision
- Have a working knowledge of securities regulations (FINRA, MSRB, and SEC)
- Have decision making skills and be an active partner in any conflict management
- Assist in the implementation of any new Compliance Alerts as needed
- Provide ongoing supervision review detail and support for the management of BOSC, Inc.
Benefits
- Excellent training and development to support building the long term careers of employees.
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What This Job Offers
Job Type
Full-time
Career Level
Principal
