SFA Partners · 1 month ago
Supervisory Principal II
Atlanta, GA
Full-time
Onsite
Senior Level, Lead/Staff
5+ years expSFA Partners is a financial services organization that provides a strategic business development platform for independent advisors and their clients. The role involves supervision and compliance services for financial advisors, including reviewing trade activities, developing training programs, and maintaining positive relationships with advisors.
AdviceConsultingFinanceFinancial Services
Responsibilities
Review for common risk and regulatory issues and approve business conducted by OSJ managers
Supervisory review of trade blotters
Supervisory review of new accounts and material account changes
Supervisory review of managed accounts
Supervisory review of advisory agreements and their implementation
Review of certain activities of financial advisors associated with independent investment advisers, including their managed accounts held away
Some supervisory review of email correspondence (Global Relay/App River)
Work with supervisees to address suitability concerns and to educate on processes and procedures
Work with Compliance to address communications, complaints, and other deficiencies
Assist in development of Firm Element Continuing Education program and compliance training through on-going assessment of training needs and issues, reviewing RegEd courses, and developing OSJ compliance communications
Review quarterly statements supervisees’ personal securities accounts and monitor for conflicts
Facilitate timely completions of annual compliance requirements (Firm Element, Code of Ethics, OBA disclosures, and Annual Compliance Questionnaires)
Conduct branch office examinations, as needed
Maintain an ongoing positive relationship with all financial advisors in collaboration with the Chief Supervisory Officer
Promote efficiencies and cooperation across all departments
Promote the goals and culture of the firm in serving the independent financial advisor in a compliant, professional, and user-friendly manner
Other duties and responsibilities as may be assigned
Qualification
Required
Position requires 5+ years' experience in broker-dealer and/or investment adviser supervision or similar role
Knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds
Series 7 and Series 24
Strong verbal and written communications skills
Ability to analyze large amounts of trade data and to think through complex compliance issues
Proficiency with Microsoft Office products (Word, Excel, PowerPoint)
Preferred
Experience supervising Registered Investment Adviser Representatives
Series 65 or 66
Series 4 and Series 53
Benefits
Medical
Dental
Vision
Section 125 flexible spending account
Disability
Life insurance
Matching 401 (k) retirement plan
Stock options
Discretionary annual bonus potential
Holiday and PTO time-off provisions
Company
SFA Partners
SFA Partners is a financial and investment company.
11-50 employees
Funding
Current Stage
Early StageLeadership Team
Inman Porter
Senior Vice President, Advisor and Investment Solutions
Recent News
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