Senior Advisor, Branch Manager – Supervisory Principal

This is a fully remote position, open to applicants in Colorado.

📋 Description

• Oversees the supervisory functions related to branch manager activities.

• Ensures compliance with both firm and regulatory policies and procedures.

• Reviews and authorizes client activities conducted by branch managers.

• Monitors and evaluates supervision reports for any suspicious trends.

• Engages with the field to communicate updates on regulatory rules and policy modifications.

⛳️ Requirements

• A Bachelor’s degree (B.A.) from a four-year college or university.

• At least three (3) years of experience in a financial services firm or in a supervisory role.

• Possession of Series 7, 9/10 or 24, 66, or 65/63 certifications is required, or the ability to obtain them within a specified timeframe.

🏝️ Benefits

• Medical, dental, and vision insurance.

• Life insurance.

• Coverage for critical illness and accidents.

• Disability benefits.

• Retirement savings plan.

• Paid time off, including vacation, holidays, and sick leave.

• Parental leave.