Senior Supervisory Principal

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:

·         The Senior Supervisory Principal will be the Supervision team lead and be responsible for resolving escalated, complex issues received by the supporting supervisory team.

• Responsible for maintaining ongoing relationships with Stratos Advisors and acting as a primary point of contact to educate, guide, and assist them with maintaining a compliant business. 

• The Senior Supervisory Principal will be supported by a supervisory team responsible for ensuring that advisors are meeting the standards and requirements set forth by regulatory agencies and the firm. 

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

• Bachelor’s degree.

• FINRA SIE, Series 7, 24, 63 and 65 (or 66) required;

• Series 53 and 4 (or 9/10) will be required within six months of joining.

• Proficient with Microsoft Office Applications: Excel, Word, Access, and PowerPoint.

• Familiarity with Orion and Salesforce a plus.

• Knowledge of life insurance, mutual funds, annuities, general securities, alternative investments, and other financial products required.

• Knowledge of FINRA, SEC, and State rules and regulations.

• Time Management & Organization

• Proactive Service & Consultation Mindset

• Strong communication skills, written and verbal

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