9 дней назад
Senior Advisor, Branch Manager Supervisory Principal
75 000 - 90 000$
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Senior Advisor, Branch Manager Supervisory Principal (Financial Services and Regulatory Supervision): Performing supervisory reviews, approving client accounts and transactions, and guiding advisors and branch leaders on regulatory and risk matters with an accent on suitability, compliance, and emerging-risk detection. Focus on interpreting evolving regulations, resolving complex supervisory issues, and strengthening processes that protect clients, advisors, and the firm.
Location: Remote Colorado, United States
Salary: $75,000–$90,000 per year
Company
is a financial services firm focused on client-first service, integrity, independence, and long-term decision-making.
What you will do
- Perform supervisory reviews and approvals of client accounts, transactions, and documentation.
- Support producing branch managers, financial advisors, and branch associates with supervisory matters.
- Research and resolve complex account, suitability, regulatory, and risk issues.
- Monitor supervisory systems and reports to identify unusual activity, trends, and emerging risks.
- Interpret firm policies, industry regulations, and supervisory standards, providing actionable guidance.
- Collaborate with supervision leadership, field supervision, compliance, legal, operations, and branch leadership to resolve issues and improve processes.
Requirements
- Bachelor’s degree from a four-year college or university, plus at least three years of experience in financial services or supervision, or an equivalent combination of education, training, and experience.
- Series 7 and Series 9/10 or Series 24 required, with Series 66 or Series 65/63 also required, or the ability to obtain the licenses within an established timeframe.
- Must be based in Colorado, United States, for this remote role.
- Strong judgment, analytical ability, communication skills, and experience interpreting regulations are required.
Culture & Benefits
- Full-time employment with remote workstyle.
- Benefits may include medical, dental, vision, life, disability, critical illness, and accident insurance.
- Retirement savings, paid vacation, holidays, sick leave, and parental leave may be available.
- Travel is expected to be less than 25%.
- Work is guided by developing, collaborating, deciding, delivering, and improving.
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