Supervisory Principal

The Business Risk Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their application in own job and the business.

• Perform daily reviews in support of the OSJ (Office of Supervisory Jurisdiction) and its Registered Representatives
• Review and approval of new brokerage and managed accounts
• Review and dispositioning of designated supervisory reports
• Partner with Regional Supervisory Head and the Supervision team on the resolution of supervisory issues escalated
• Manage surveillance alerts within stated policy guidelines
• Interface, consult with and escalate to Senior Management and partners including, but not limited to, Compliance, Legal, AML, Regional Business Risk, Regional COO and Sales Management
• Assist with ad-hoc projects and/or workflow testing as assigned by Manager
• Assist with coaching and training Registered Representatives when applicable
• Assist with conducting of periodic control meetings
• Assist with audits/examinations when applicable

• Relevant experience in Capital financial industry
• FINRA Series 7, 66 (63/65), 24 and 31
• Knowledge of Bank and Broker-Dealer businesses, regulatory requirements and related policy
• Knowledge of Investment products including complex products (Alternatives, Structured Notes and Derivatives)
• Ability to assess and balance diverse priorities
• Strong networking, influencing and negotiating skills
• Strong analytical skills
• Excellent written and verbal communication skills in English required
• Strong organizational and time management skills
• Excellent interpersonal and diplomacy skills
• Ability to work independently and execute on agreed upon timelines
• Experience contributing to internal/external audits preferred
• Excellent problem solving skills
• Ability to see the big picture with high attention to critical details
• Demonstrated ability to contribute to/participate in process improvement initiatives

• medical, dental & vision coverage
• 401(k)
• life, accident, and disability insurance
• wellness programs
• paid time off packages
• planned time off (vacation)
• unplanned time off (sick leave)
• paid holidays

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