Senior Supervisory Principal

Role Description

The Sr. Supervisory Principal is responsible for ensuring advisors are maintaining compliance with regulatory standards and Firm policies and procedures. This position is an individual contributor reporting to the Director of Supervision.

• Responsible for supervising the day-to-day activities of assigned Registered Representatives and Investment Advisory Representatives
• Responsible for the supervisory review of new accounts, trades, annuities, and alternative investments
• Responsible for the supervisory review of written and electronic correspondence
• Conduct field office training as required
• Engage and resolve escalated supervisory, compliance, and other issues as they arise
• Research and prepare draft responses to Regulatory and Legal enquiries
• Strengthen relationships with advisors and their support staff
• Support team members through training, mentoring, and assist with professional development
• Excellent knowledge of compliance issues, firm/regulatory policy, and Kestra approved products
• Other duties assigned by Supervision Leadership

Qualifications

• Bachelor's degree and/or 5-7 years industry experience, most recently Supervision or Compliance experience, and/or risk management
• Excellent skills in organization, attention to detail, written and verbal communication, conflict resolution, and presenting
• The qualified candidate will work in a collaborative team environment but be responsible for individual results
• Knowledge of SEC, FINRA, and State rules and regulations
• Knowledge of BD and RIA business practices
• Proficient with Windows applications such as Word, Excel, Teams, and Outlook
• Familiarity with industry tools such as FIS/Sungard/Protegent, Envestnet, Albridge/Pershing X, Wealthscape, Smarsh, RegEd, eMoney, Salesforce, etc.

Requirements

• Series 7, 24 or 9/10, and 66 or 63/65 required
• Series 53, 24 if 9/10 only, required within 3 months of hire
• Series 4, Life and Health Insurance licenses a plus, but not required

Benefits

• Competitive pay and benefits with a large employer (over 1600 employees nationwide)
• 401(k), health insurance, and a competitive benefits package
• Work in a supportive, collaborative environment committed to professional excellence
• Help clients navigate meaningful financial decisions with confidence
• Opportunities for training, development, and long-term growth within the firm
• Tuition reimbursement for qualified expenses