Senior Supervisory Principal

Job description

Stratos Wealth Partners (SWP) is seeking a highly motivated and accountable individual to support the supervision team of Stratos.  SWP provides a platform of Broker-Dealer and RIA services for our registered representatives/advisors. In addition, this role will also supervise Stratos Wealth Advisors, our RIA only platform. This individual must be well versed in both broker-dealer and RIA supervision. We are a growing, fast-paced independent firm that offers room for career advancement and development.

Duties and Responsibilities:

This role will be the supervision team lead.

• Conduct daily supervisory reviews and approvals, including but not limited to new business submissions, trade blotters, complex product transactions, and advisory account activity.

• Serve as a primary point of contact for financial advisors, providing guidance and ensuring understanding and compliance with all firm policies and regulatory requirements.

• Perform ongoing email and correspondence surveillance to monitor compliance and suitability.

• Review exception reports and other supervisory reports to identify and address potential issues or trends.

• Review and approve custodian-related documentation to ensure accuracy and compliance with internal and external regulatory standards.

• Assist in the development, documentation, and implementation of supervisory procedures as needed to support operational efficiency and regulatory adherence.

Job requirements

• Bachelor’s degree.

• FINRA SIE, Series 7, 24 and 63 and 65 or 66 required; Series 53 and 4 or 9/10 will be required within six months of joining.

• Familiarity with Orion and Salesforce a plus.

• Detail oriented.

• Proficient with Microsoft office.

• Strong communication skills, written and verbal.

• Ability to work in a fast-paced, changing environment.