Supervisory Principal
Job Description
We are looking for for a remote Supervisory Principal for a wealth management client. The ideal candidate will have the required FINRA licenses and general supervision experience within wealth management/asset management.*Job Duties: *
* Perform periodic conference/WebEx calls with representatives, providing regulatory insight and training on documentation and sales best practices.
* Perform principal review of new account applications and compliance required forms.
* Perform principal review of all representative transactions (Trade Blotter).
* Perform principal review of all correspondence to and from representatives.
* Provide guidance to representatives regarding compliance matters.
* Partner with Program Manager to oversee investment program to ensure satisfactory compliance with CFS and regulatory policies.
* Train representatives, assistants, and program managers in CFS procedures as well as Internal Platform/System capabilities.
* Maintains in depth working knowledge of the reporting capabilities of Unio and Surveillance and ability to be utilized in the monitoring and detection of potential issues.
* Supervise activity of assigned representatives around the country that do not have an on-site OSJ.
* Travel to conduct onsite audit and/or training visits to representatives and branches. Maintain and build a working relationship with representatives to develop their skills in promoting increased business opportunities.
*Qualifications:*
* Bachelor's degree (B. A.) from four-year college or university; 2-3 years' experience supervising the production of Series 7 representatives, or equivalent combination of education and experience.
* Series 7, Series 66 and Series 24 licenses are required for this role.
* Experience conducting Suitability reviews of wealth products.
* Product and market experience, posses' excellent communication skills.
* Strong team player, detail oriented with excellent verbal and written communication skills.
* Proficient in Excel, Word, Power Point and Outlook.
* Strong oral and written communication skills.
* Strong attention to detail, including the ability to identify risk and when existing controls are not sufficient.
* Ability to adapt and work well within a fast-paced environment.
* Self-motivated, with the ability to multi-task on a variety of projects
*Preferred: *
*Series 4, 53, or 51 preferred but not required.
About TEKsystems:
We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.
The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.
*Please mention you saw this ad on VeteransInHigherEducation.*
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