Job Description

CornerStone has partnered with a local financial services company in their search for a Supervision Principal well versed in a wide range of products; mutual products, fixed income and securities products.   The company is a national firm that has grown exponentially over the past few years.   The Supervision Principal will review all the advisors interaction; trades, recommendations to clients, suitability of the recommendation, correspondence and communications with clients, advertising, paperwork, etc.
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
 Benefits of Supervision Principal
  • 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 and call 817-635-0500X162 for immediate consideration


Application Instructions

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