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Supervision Principal
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Independent Financial Partners Tampa, United StatesSupervision Principal · About IFP · We are a broker-dealer and RIA providing support to financial advisors in all areas of their business: compliance, technology, marketing, operations, practice management, and more. Our goal is to be the easiest and most frictionless firm to w ...
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Supervision Principal
1 week ago
Independent Financial Partners (IFP) Tampa, United StatesSupervision Principal · About IFP · We are a broker-dealer and RIA providing support to financial advisors in all areas of their business: compliance, technology, marketing, operations, practice management, and more. Our goal is to be the easiest and most frictionless firm to wor ...
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Supervision Principal
1 day ago
Independent Financial Partners (IFP) Tampa, United StatesSupervision Principal · About IFP · We are a broker-dealer and RIA providing support to financial advisors in all areas of their business: compliance, technology, marketing, operations, practice management, and more. Our goal is to be the easiest and most frictionless firm to wor ...
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Cmo Adventhealth Medical Group
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USAA Tampa, United States Full timeWhy USAA? · Let's do something that really matters. · At USAA, we have an important mission: facilitating the financial security of millions of U.S. military members and their families. Not all of our employees served in our nation's military, but we all share in the mission to g ...
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Ophthalmic Account Manager
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Pool Clinical Research Assistant
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Pool Clinical Research Assist
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Nurse Residency Program
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Facility Admissions Coordinator
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University of Maryland Medical System Largo, United States**Company Description** · Located in Largo in the heart of Prince George's County, our new state-of-the-art regional medical center (UM Capital Region Medical Center) will provide improved access to primary and ambulatory care services, and serve as a tertiary care center for cri ...
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University of Maryland Medical System Largo, United States Full time**Company Description** · THE MEDICAL HEART OF MARYLAND · Treating over 330,000 patients every year, the University of Maryland Medical Center is at the vital core of Maryland's health care system and community. We're known for our prestigious expertise in innovative research and ...
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Environmental Services Aide I, Largo
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Full Time Medical Technician
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Medical Technician
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Licensed Optician
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Summer School Teacher 2024
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Geotechnical Engineer
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principal engineer
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Hotline Advocate
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The Spring of Tampa Bay Tampa, United StatesFind a rewarding job with The Spring of Tampa Bay We provide safe spaces and empowering services to survivors of domestic violence and their children. · Job Description: · Provides empowerment based, survivor-focused services via call, chat, and text · Principal duties/responsibi ...
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Hotline Advocate
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The Spring of Tampa Bay Tampa, United StatesFind a rewarding job with The Spring of Tampa Bay We provide safe spaces and empowering services to survivors of domestic violence and their children. · Job Description: · Provides empowerment based, survivor-focused services via call, chat, and text · Principal duties/responsibi ...
Supervision Principal - Tampa, United States - IFP Advisors, LLC
Description
Job Description
Job DescriptionSupervision Principal
Job Responsibilities
We're looking for a Sales and Transaction Supervision Principal, reporting to our Director of Supervision. Responsibilities include:
· Conducting reviews of prospective customers to ensure compliance with all applicable regulations and requirements to accept investment accounts
· Monitoring the sales practice activities of IFP's financial professionals
· Reviewing and approving client new account documentation and trade records ("blotters")
· Conducting suitability and best interest reviews of customer trading activity in securities, including mutual funds, variable annuities, equities, fixed income securities, etc. to ensure compliance with all internal procedures and industry regulations
· Analysis of complex suitability reviews to detect trends, trading patterns, and rules violations, to ensure adherence to securities industry regulations.
· Monitoring IFP Advisor's trading activity, reporting findings, and managing concerns
· Assist in developing processes and procedures to ensure adherence to supervision requirements as required by FINRA, SEC, State and other regulators
· Interpreting, applying, and recommending changes to organizational policies and procedures
Job Qualifications
We're looking for candidates with the following qualifications:
· 3-7 years of experience in a compliance, supervision, and/or operations role at a BD and/or RIA
· FINRA Series 7, 66, series 9/10. Potentially consider Series 24 and 4 instead of series 9/10. Series 63 and 65 can be substituted for the 65.
· Knowledge of Investment Advisers Act, FINRA, SEC, state securities rules and regulations
Company DescriptionWe are a broker-dealer and RIA providing support to financial advisors in all areas of their business: compliance, technology, marketing, operations, practice management, and more. Our goal is to be the easiest and most frictionless firm to work with for financial advisors and we are looking for creative and talented people to help us perpetually strive toward that goal. At IFP, innovation and user experience drive everything that we do&v=024){kind=logo}
