Senior Supervisory Principal

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

📋 Description

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

• Responsible for conducting supervisory reviews of new accounts, trades, annuities, and alternative investments.

• Manage the supervisory review of both written and electronic correspondence.

• Provide training in field offices as necessary.

• Address and resolve escalated issues related to supervision, compliance, and other matters as they arise.

• Conduct research and draft responses to inquiries from Regulatory and Legal departments.

• Foster strong relationships with advisors and their support staff.

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

• Demonstrate comprehensive knowledge of compliance matters, firm and regulatory policies, and products approved by Kestra.

• Perform additional responsibilities as assigned by Supervision Leadership.

⛳️ Requirements

• A Bachelor's degree and/or 5-7 years of relevant industry experience, with a focus on Supervision or Compliance, and/or risk management.

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

• The ideal candidate will thrive in a collaborative team setting while being accountable for individual outcomes.

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

• Understanding of BD and RIA business practices.

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

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

🏝️ Benefits

• Competitive salary and performance-based bonuses.

• Comprehensive health, dental, and vision insurance.

• Retirement savings plan with employer matching.

• Opportunities for professional development and continuous learning.

• Flexible working hours and remote work options.