Senior Regional Supervision Principal - Philadelphia
1 month ago

Job summary
The Senior Regional Supervising Principal (Senior RSP) plays a critical role in HTK's supervisory hierarchy overseeing sales practices across a designated region.
+Responsibilities
- Serve as primary supervisory contact for assigned Financial Professionals
- Lead disciplinary issue resolution policy reinforcement training review assess outside business activities private securities transactions annual in-person office visits support proactive risk mitigation review approve securities-related correspondence electronic communications social media support documentation closure trend reports real time collaborate supervisory oversight design complex business requests assist meetings investigations provide training company policies trading operations regulatory requirements perform other related duties ability travel experience years supervisory experience Broker RIA excellent oral written communication skills ability present senior leaders skilled relationship building conflict resolution proficient Excel Word PowerPoint strong customer service orientation detail-oriented organizational multitasking abilities influence collaborate teams demonstrated ability contribute process improvements learn new skills Bachelor degree preferred FINRA Series required FINRA Series preferred Life Insurance license preferred+
Job description
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