Job Description

Supervision Principal
Fort Worth, TX

CornerStone is currently partnering with a local financial firm in their search for a Registered Supervision Principal to manage pre-sale and post-sale suitability reviews of financial plans, brokerage transactions, insurance and annuity recommendations and investment switches.  Once reviewed they document all findings in the CRM. Must have an active series 24 license.  

Requirements of the Supervision Principal
  • Bachelor's Degree required in a related field
  • FINRA Series 24 
  • Extensive knowledge of compliance and regulatory requirements
  • Available for a 4-6 month long engagement
 
Responsibilities of the Supervision Principal
 
  • Review of a client’s profile to include their risk tolerance, investment objectives, tax status and other facts and circumstances to determine suitability of a financial plan that could include insurance, annuities, managed products, mutual funds, fixed income, and other various securities products
  • Review new accounts
  • Monitor work queues at the beginning and intra-day
  • Provide field force support through training and education
  • Timely follow up on items pending approval (NIGO) to include financial plans, investment switches, new accounts or other in-force or new business
  • Monitor, review and resolve items for attention in NETX360
  • Daily monitoring of the Supervision inbox and respond
  • Highly focused on the quality of pre and post-sale reviews with an emphasis on following documented procedures
  • Escalate items to the Supervision and Surveillance manager
  • Educate advisors on unsuitable transactions/recommendations and assist in finding alternative solutions
  • Identify and recommend ideas for process and procedure improvement
If interested, send your resume to Allison Harrison at allisonh@cornerstonestaffing.com and call 817-635-0500X162 for immediate consideration. 

Application Instructions

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