Job Description
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.
**Key Responsibilities and Duties**
+ 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 ...
**Key Responsibilities and Duties**
+ 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 ...
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