Senior Advisor, Branch Manager – Supervisory Principal
Job Description:
- Manages supervisory oversight of branch manager activity
- Ensures adherence to firm and regulatory policies and procedures
- Reviews and approves client activity for branch managers
- Monitors and analyzes supervision reports for suspicious patterns
- Communicates with the field regarding regulatory rules and policy changes
Requirements:
- Bachelor’s degree (B.A.) from four-year college or university
- Minimum of three (3) years’ experience in a financial services firm / supervision
- Series 7, 9/10 or 24, 66 or 65/63 required or the ability to obtain within an established timeframe
Benefits:
- Medical, dental, and vision insurance
- Life insurance
- Critical illness and accident insurance
- Disability benefits
- Retirement savings plan
- Paid time off including vacation, holidays, and sick leave
- Parental leave
