Senior Supervisory Principal

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

📋 Description

• Oversee the daily operations of designated Registered Representatives and Investment Advisory Representatives.

• Evaluate new accounts, trades, annuities, and alternative investments.

• Review both written and electronic communications.

• Provide training at field offices as necessary.

• Address and resolve escalated supervisory, compliance, and other related issues.

• Investigate and draft responses to Regulatory and Legal inquiries.

• Enhance relationships with advisors and their support teams.

• Assist team members through training, mentoring, and professional growth.

• Utilize knowledge of compliance matters, firm/regulatory policies, and Kestra-approved products.

• Execute additional responsibilities assigned by Supervision Leadership.

• Report directly to the Director of Supervision as an independent contributor.

⛳️ Requirements

• A Bachelor's degree and/or 5-7 years of industry experience, ideally in Supervision or Compliance, and/or risk management.

• Exceptional organizational skills, attention to detail, and proficiency in written and verbal communication, conflict resolution, and presentations.

• Capability to thrive in a collaborative team setting while being accountable for individual outcomes.

• Familiarity with SEC, FINRA, and State regulations and guidelines.

• Understanding of BD and RIA operational practices.

• Proficient in Windows applications such as Word, Excel, Teams, and Outlook.

• Knowledge of industry tools like FIS/Sungard/Protegent, Envestnet, Albridge/Pershing X, Wealthscape, Smarsh, RegEd, eMoney, Salesforce, etc.

• Possession of Series 7, 24 or 9/10, and 66 or 63/65 is mandatory.

• Series 53 and Series 24 (if only holding 9/10) must be obtained within three months of hiring.

• Series 4, Life, and Health Insurance licenses are advantageous but not essential.

🏝️ Benefits

• Opportunity for remote work within a Home Office based Supervision department.

• Access to training, mentoring, and professional development resources.