An innovative company is looking to add a Supervision Principal to its financial team. In this role you will supervise daily business activities of representatives and advisors who use our RIA Brokerage Platforms. You will provide proactive compliance support to the regulatory environment. This role offers opportunity for growth in a hybrid model in the Kansas City area.
- Work with compliance team to continually refine supervisory process
- Ensure registered representatives and advisors understand policies and procedures through training and coaching
- Travel on occasion to branch locations to conduct annual reviews
- Identifying suspicious patterns in daily business and swiftly provide resolution
- At least 2 years of financial service industry experience in a compliance or supervision role
- Knowledge of industry rules & regulations
- FINRA Series 7
- Ability to lead tough conversations with exceptional problem determination skills
- Amazing benefits including medical, dental, vision and 401k (with matching options)
- Generous PTO package from your start date
- Access to an on-site café, gym and primary care
- Continuous personal and professional development opportunities
If you are interested in the Supervision Principal role, please apply above.