- 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.
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Supervisory Principal
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TalentBridge Holdings Corporation Charlotte, United States1 week ago · Be 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 TalentBrid ...
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Supervisory Principal
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TalentBridge Holdings Corporation Charlotte, United StatesJob Overview: · 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 acti ...
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Supervisory Principal
1 week ago
Talentbridge Holdings Corporation Charlotte, United States1 week ago Be among the first 25 applicantsThis 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/hrDirect message the job poster from TalentBridgeWe're seeking a ...
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USAA Charlotte, 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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Bank of America Charlotte, United StatesJob Description: · Annuities/Life Insurance Supervision Principal IV · Job Description · Merrill Wealth Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions, specializing in goals-bas ...
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Secretary - 10 Month
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Gift Officer- Capital Campaign
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Sales Supervision Manager
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treasurer/bookkeeper i
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Supervisory Principal - Charlotte, United States - TalentBridge
Description
Job Overview:
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:
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.
