Job Description

Supervision and Surveillance Principal
Fort Worth, TX

Currently looking for a Supervision and Surveillance Principal for our clients Financial Planning department. Qualified candidates must have a Bachelor’s degree in a relevant field as well as at least five years of Financial Services experience.

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 7, 24, 53, and 66
  • (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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