Apply on Employer Site

STRATOS · 1 day ago

Senior Supervisory Principal

Beachwood, Ohio, United States

Full-time

Hybrid

Senior Level, Lead/Staff

$100K/yr - $120K/yr

Stratos Wealth Partners (SWP) is seeking a highly motivated and accountable individual to support the supervision team. The role involves leading the supervision team, conducting daily supervisory reviews, and ensuring compliance with firm policies and regulatory requirements.

ConsultingFinancial Services

Growth Opportunities

Responsibilities

This role will be the supervision team lead

Conduct daily supervisory reviews and approvals, including but not limited to new business submissions, trade blotters, complex product transactions, and advisory account activity

Serve as a primary point of contact for financial advisors, providing guidance and ensuring understanding and compliance with all firm policies and regulatory requirements

Perform ongoing email and correspondence surveillance to monitor compliance and suitability

Review exception reports and other supervisory reports to identify and address potential issues or trends

Review and approve custodian-related documentation to ensure accuracy and compliance with internal and external regulatory standards

Assist in the development, documentation, and implementation of supervisory procedures as needed to support operational efficiency and regulatory adherence

Qualification

FINRA SIESeries 7Series 24Series 63Series 65OrionSalesforceMicrosoft OfficeDetail orientedCommunication skillsWork in fast-paced environment

Required

Bachelor's degree

FINRA SIE, Series 7, 24 and 63 and 65 or 66 required; Series 53 and 4 or 9/10 will be required within six months of joining

Detail oriented

Proficient with Microsoft office

Strong communication skills, written and verbal

Ability to work in a fast-paced, changing environment

Preferred

Familiarity with Orion and Salesforce a plus

Company

STRATOS

Headquartered in Beachwood, Ohio, Stratos is an independent, partner-owned and operated financial services firm that works solely to facilitate the success of more than 350 independent financial advisors nationwide.

Founded in 2008