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Supervisory Principal - Charlotte, United States - TalentBridge Holdings Corporation
Description
1 week agoBe among the first 25 applicants
This range is provided by TalentBridge. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range
$35.00/hr - $45.00/hr
Direct message the job poster from TalentBridge
We're seeking a Supervisory Principal to join our dynamic team within the Client Success Organization.
As a first-line defense function, you'll play a pivotal role in conducting due diligence reviews on prospective representatives, evaluating outside business activity and private securities transactions, and ensuring compliance with regulatory standards.
Working closely with various departments, you'll be responsible for reviewing "day one" marketing materials for new offices and providing supervisory expertise and consulting for projects and initiatives.
Responsibilities:
Conduct due diligence reviews on prospective representatives to assess suitability for joining our organization.
Review and evaluate requests for outside business activities and private securities transactions submitted by advisors.
Assess office-sharing arrangements to ensure compliance with regulatory requirements.
Review and approve "day one" marketing materials for new offices joining our organization.
Collaborate with advisors, business consultants, and internal departments to communicate compliance determinations effectively.
Provide supervisory expertise and consultation for projects and initiatives across the organization.
Assist with regulatory exams, internal investigations, and ad hoc projects as required.
What we're looking for:
We're seeking strong collaborators who thrive in fast-paced environments and are dedicated to delivering a world-class client experience.
The ideal candidate will have a minimum of 3-5 years of industry experience and hold FINRA Series 7, Series 24, and Series 63 (or 66) certifications.
Strong attention to detail, excellent problem-solving skills, and the ability to make regulatory and risk-based decisions are essential for success in this role.
Additionally, candidates with a background in business, accounting, finance, or related disciplines are preferred.Proficiency in Microsoft applications, particularly Excel, Word, Access, PowerPoint, SharePoint, and Visio, is required, with familiarity with Salesforce and Oracle considered a plus.
Seniority levelSeniority level
Mid-Senior level
Employment type
Employment type
Full-time
Job function
Job function
Administrative and Quality Assurance
Industries
Financial Services and Investment Management
Referrals increase your chances of interviewing at TalentBridge by 2x
Inferred from the description for this job
401(k)
Medical insurance
Vision insurance
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