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Securities Regulatory Supervisory Principal

  • Hybrid
    • Beachwood, Ohio, United States
    • San Diego, California, United States
    +1 more
  • $80,000 - $90,000 per year
  • Compliance

Job description

Stratos Wealth Partners (SWP) is seeking a highly accountable individual to support the supervision and compliance initiatives of the firm.  SWP provides a platform of Broker-Dealer and RIA services for our registered representatives/advisors. We are looking for an individual to focus on the daily supervision tasks associated with brokerage and RIA transactions, reporting to the OSJ Supervisor. We are a growing department that offers room to develop and advance your skills.

Essential Duties and Responsibilities:

  • Conduct daily supervisory reviews and approvals. Including, but not limited to:

    • New Account Opening Paperwork

    • Trade Blotter Reviews

  • Email surveillance

  • Incoming Compliance Inquiries

  • Participation in branch exams

  • Additional projects as assigned

Job requirements

  • Bachelor’s degree

  • FINRA SIE, Series 7, 24 and 65/66 required; Series 53 and 4 a plus

  • Familiarity with Orion and Salesforce a plus

  • Attention to Detail / Data Organization

  • Proficient with technology

  • Strong communication skills, written and verbal

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

  • Collaborative mentality; strong team orientation

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