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Senior Supervisory Principal
Kestra Holdings. Supervise the day-to-day activities of assigned Registered Representatives and Investment Advisory Representatives .
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in supervising Registered Representatives and Investment Advisory Representatives while ensuring compliance with SEC, FINRA, and State regulations. Proficient in training, mentoring, and resolving escalated issues within the financial services industry.
Highest-signal resume keywords
Supervision ExperienceCompliance KnowledgeRegulatory Response PreparationTraining and MentoringAttention to Detail
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Risk ManagementConflict ResolutionWritten CommunicationVerbal CommunicationOrganizational Skills
Soft Skills
Attention to DetailConflict ResolutionPresenting
Tools & Technologies
FIS/Sungard/ProtegentEnvestnetAlbridge/Pershing XWealthscapeSmarshRegEdEMoneySalesforceWindows Applications
Certifications & Qualifications
Series 7Series 24Series 9/10Series 66Series 63Series 65Series 53
Industry Keywords
SEC RegulationsFINRA RegulationsBD Business PracticesRIA Business PracticesCompliance Issues
About the role
Key responsibilities & impact- Supervise the day-to-day activities of assigned Registered Representatives and Investment Advisory Representatives
- Conduct supervisory reviews of new accounts, trades, annuities, and alternative investments
- Conduct supervisory reviews of written and electronic correspondence
- Conduct field office training as required
- Engage and resolve escalated supervisory, compliance, and other issues
- 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 professional development
- Apply knowledge of compliance issues, firm/regulatory policy, and Kestra-approved products
- Perform other duties assigned by Supervision Leadership
Requirements
What you’ll need- 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
- 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.
- Series 7, 24 or 9/10, and 66 or 63/65 required
- Series 53 required within 3 months of hire
- Series 24 required within 3 months of hire if 9/10 only
- Series 4, Life and Health Insurance licenses are a plus, but not required
Benefits
Comp & perks- Remote work within a Home Office based Supervision department
- Training, mentoring, and professional development support