Supervision Principal

Supervision 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