Senior Supervisory Principal
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Job Description
Senior Supervisory Principal ensuring advisors follow regulatory standards and Kestra policies. Reviewing accounts, trades, correspondence, and escalated compliance matters remotely.
Responsibilities:
- Supervise the day-to-day activities of assigned Registered Representatives and Investment Advisory Representatives
- Review new accounts, trades, annuities, and alternative investments
- Review written and electronic correspondence
- Conduct field office training as required
- Engage and resolve escalated supervisory, compliance, and other issues
- Research and prepare draft responses to Regulatory and Legal enquiries
- Strengthen relationships with advisors and their support staff
- Support team members through training, mentoring, and professional development
- Apply knowledge of compliance issues, firm/regulatory policy, and Kestra-approved products
- Perform other duties assigned by Supervision Leadership
- Report to the Director of Supervision as an individual contributor
Requirements:
- Bachelor's degree and / or 5-7 years industry experience, most recently Supervision or Compliance experience, and/or risk management
- Excellent skills in organization, attention to detail, written and verbal communication, conflict resolution, and presenting
- Ability to work in a collaborative team environment while being responsible for individual results
- Knowledge of SEC, FINRA, and State rules and regulations
- Knowledge of BD and RIA business practices
- Proficient with Windows applications such as Word, Excel, Teams, and Outlook
- Familiarity with industry tools such as FIS/Sungard/Protegent, Envestnet, Albridge/Pershing X, Wealthscape, Smarsh, RegEd, eMoney, Salesforce, etc.
- Series 7, 24 or 9/10, and 66 or 63/65 required
- Series 53, and Series 24 if 9/10 only, required within 3 months of hire
- Series 4, Life and Health Insurance licenses are a plus, but not required
Benefits:
- Remote work within a Home Office based Supervision department
- Training, mentoring, and professional development support
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