The purpose of the Supervisory Principal Manager is to manage a team of Supervisory Principals that are primarily responsible for supervising the suitability of securities transactions and performing principal review functions for an assigned group of representatives, including representatives who may be on heightened supervision and representatives who may have off-platform accounts. The Supervisory Principal Manager works closely with senior management to develop and implement strategies to improve internal controls, create efficiencies, and minimize risk.

Primary Duties:

· Maintains Gold Standard service by administering quality and customer service standards; analyzing and resolving quality and customer service opportunities; identifying trends; recommending system improvements.

· Develop and implement strategies to enhance team performance and achieve departmental objectives.

· Identify opportunities for process improvements and operational efficiencies.

· Oversee the planning, execution, and monitoring of projects within the department. Prepare and present regular reports on departmental performance, including key metrics and progress toward goals. Communicate and manage the firm’s initiatives through the supervisory principals.

· Administrate and monitor compliance with policies and procedures developed and implemented by the compliance department.

Fulfill the company’s directives regarding management systems, PDMs, weekly meetings.
Review and supervise daily activity including daily trade blotters, transactions and monthly activity reports, heightened supervision plans, representative reviews, correspondence, email, social media and websites
Schedule periodic visits to our advisor offices
Maintains professional and technical knowledge by attending educational workshops, reviewing professional publications, establishing personal networks and participating in professional societies.

· Provides a gold-standard experience to our internal and external clients through our corporate service standards

· Various other duties as necessary

Supervision: Direct Reports

Education and Experience:

· Bachelor’s degree in business or related field or equivalent work experience

· 8 years experience in financial services industry compliance

· 5 years experience in supervision

Knowledge/Skills/Certifications:

· Project Management skills.

· Ability to be strategic and creative.

· Good organizational skills and strong attention to detail.

· Customer Service focused.

· In-depth knowledge of financial services’ state and federal regulations

· Ability to communicate both verbally and in writing in a professional and effective way

· Excellent analytical skills

· Excellent organizational skills and attention to detail; ability to multi-task

· Ability to coach and develop employees effectively

· Ability to use Microsoft Office (Word, Excel, PowerPoint) effectively

Regulatory Titles:

Options Principal - Optional

Muni Principal – Optional

Research-Optional

Licenses required:

Securities – Series 7

State - Series 63 or 66

Principal - Series 24

Principal – Series 4 and Series 53 preferred or willingness to obtain.

Advisory – Series 65 – 66

Travel Requirements – Approximately 10%

Physical Requirements:

· Ability to speak, to hear and to operate business equipment such as computers, printers, etc.

Environmental Requirements:

· Professional office environment

· Must be located in the Dallas corporate office (hybrid opportunity post training)

Prospera Financial jobs

Supervisory Principal Manager