Supervisory Principal

TEKsystems
$40.00 - $50.00 / hr
life insurance, sick time, 401(k), retirement plan
United States, California, San Diego
Mar 01, 2025
We are searching for a Supervisory Principal for a wealth management client. This role is fully remote, candidates must sit in the United States. The Office of Supervisory Jurisdiction (OSJ) Branch Supervisor role will be responsible for assuring that all registered representatives and advisors under their supervision are in compliance with all federal, state, FINRA and SEC rules and regulations, as well as all regulatory policies and procedures. What you will do: * Perform periodic conference/WebEx calls with representatives, providing regulatory insight and training on documentation and sales best practices. * Perform principal review of new account applications and compliance required forms. * Perform principal review of all representative transactions (Trade Blotter). * Perform principal review of all correspondence to and from representatives. * Provide guidance to representatives regarding compliance matters. * Partner with Program Manager to oversee investment program to ensure satisfactory compliance with CFS and regulatory policies. * Train representatives, assistants, and program managers in CFS procedures as well as Unio (Internal Platform/System) capabilities. * Maintains in depth working knowledge of the reporting capabilities of Unio and Surveillance and ability to be utilized in the monitoring and detection of potential issues. * Supervise activity of assigned representatives around the country that do not have an on-site OSJ. * Travel to conduct onsite audit and/or training visits to representatives and branches. Maintain and build a working relationship with representatives to develop their skills in promoting increased business opportunities. Qualifications: * Bachelor's degree (B. A.) from four-year college or university preferred. * 2-3 years' experience supervising the production of Series 7 representatives, or equivalent combination of education and experience. * FINRA Series 7, 63 and 24 (or 9 & 10) licenses are required for this position. * Prior experience as registered principals overseeing the sales activities of retail Series 7 and 65 Representatives of investment products required. (Annuities, mutual funds, securitizes etc. * Strong sales supervision experience with strong suitability analysis required. * Strong oral and written communication skills required. Preferred: * Series 4, 53, or 51 preferred but not required. * Advisory product/account experience is preferred, candidates with strong brokerage supervision experience can be Pay and Benefits The pay range for this position is $40.00 - $50.00/hr. Eligibility requirements apply to some benefits and may depend on your job classification and length of employment. Benefits are subject to change and may be subject to specific elections, plan, or program terms. If eligible, the benefits available for this temporary role may include the following: * Medical, dental & vision * Critical Illness, Accident, and Hospital * 401(k) Retirement Plan - Pre-tax and Roth post-tax contributions available * Life Insurance (Voluntary Life & AD&D for the employee and dependents) * Short and long-term disability * Health Spending Account (HSA) * Transportation benefits * Employee Assistance Program * Time Off/Leave (PTO, Vacation or Sick Leave) Workplace Type This is a fully remote position. Application Deadline This position is anticipated to close on Mar 14, 2025. About TEKsystems: We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company. The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.