Job Description

Currently looking for a Supervision and Surveillance Principal to perform your VALUED skills within financial supervision on a grand stage! This is a powerful and critical role requiring someone with real world principal experience utilizing their Series 24 license! Here you get the opportunity to manager risk  through suitability reviews, evaluate day to day business submitted by advisors and maintain service level agreeements! Come be in the driver's seat to a position that has A LOT to offer!

This is a Long Term Contract position /Will consider for perm if a fit, with BENEFITS. Please apply ASAP. This position will go fast! 

Requirements of the Supervision and Surveillance Principal
  • At least 5 years of experience in financial services
  • Bachelor's Degree required in a related field
  • FINRA Series  24 license
  • (Registered Principal experience is preferred)
  • Extensive knowledge of compliance and regulatory requirements
Responsibilities of the Supervision and Surveillance 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

Application Instructions

Please click on the link below to apply for this position. A new window will open and direct you to apply at our corporate careers page. We look forward to hearing from you!

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