Supervision Principal
Job Description
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
- 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
- PTO (sick/vacation)
- ESOP Contribution
- 2 Days Volunteer PTO
- Tuition reimbursement
- Covered Parking
- Free financial planning
- Free on-site fitness center with exercise classes. Discounted personal training and massage therapy is available
- Free basic life, short and long term disability and an employee assistance program
- Company contributions to a Health Savings Account for the high deductible medical plan
- Medical concierge service paid by the company via COMPASS to assist in finding cost-effective medical services and dealing with billing discrepancies
- Charitable services and volunteer opportunities
- Year-over-year gold winner of the American Heart Association Fit Friendly company
- Library privileges
- Concierge services with daily lunch specials, vendor sales, discount movie tickets and a free DVD library
- A career development program
- In-house training courses ranging from leadership development to basic computer skills
- Employee recognition programs and quarterly all-employee luncheons
- Yearly family social events
If interested, send your resume to Allison Harrison at allisonh@cornerstonestaffing.com and call 817-635-0500X162 for immediate consideration
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!
Apply OnlinePosted: 6/30/2022
Job Status: Full Time
Job Reference #: a1U4V000001tvaZUAQ