Home Office Principal II

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Job description

Compliance Opportunity in Financial Services

Home Office Principal II, Triad Advisors

Location(s): NORCROSS, GA & REMOTE

Role Type: Full Time

Summary:

The Home Office Principal II will be responsible for serving as the OSJ/Branch Office Manager for Independent Financial Advisors located within an assigned region. This role will be responsible for ensuring that the assigned financial professionals are meeting the standards and requirements of supervision set by regulatory agencies and the firm.

Responsibilities:

• Reviews and approves new business transactions in variable annuities, mutual funds, and alternative securities for suitability and required documentation
• Conducts a review of monthly blotters, paper correspondence, gift & gratuity logs, cash / non-cash compensation requests and signature guarantee logs
• Reviews advisor emails and client correspondence
• Coordinates the review of complaints with the complaints handling team to address customer complaints
• Conducts new branch orientations for transitioning advisors
• Utilizes Trade Monitor to review all subsequent trades placed and follows up on any potential sales practice concerns
• Serves as the primary point of contact for all compliance related matters for assigned advisors
• Conducts business practice reviews as needed and investigates sales practice concerns as they arise
• Serves as point person for Investigations and Risk Review Departments and recommends disciplinary action as needed
• Serves on various committees and projects as determined by Management
• Assists with regulatory exams and requests as well as assists with the maintenance of the department's written supervisory procedures.
• Reviews transfer paperwork and provides Signature Guarantees on behalf of the firm
• All other duties as assigned

Education Requirements:

• Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Basic Requirements:

• 5+ years industry experience required
• 3+ years supervision or direct supervision of financial professional experience is required
• FINRA Series 7, Series 24 required
• Series 53 and Series 65/66 required to be obtained within 12 months
• Ability to travel is required to conduct branch office visits, attend regulatory conferences and training sessions
• Knowledge of investment services, products, practices, and general market trends
• Well-developed analytical and project management skills, highly organized with the ability to handle multiple tasks and multiple priorities simultaneously
• Working knowledge of Microsoft Word, Excel, Outlook and other Web-based applications.
• Strong knowledge of FINRA, SEC, and state rules and regulations
• Ability to develop compliance systems and strategies for effective supervision
• Exceptional interpersonal and team-building skills
• Excellent verbal and written customer service, telephone, troubleshooting and communication skills
• Possess excellent organizational skills with the flexibility to readily adapt to change

Preferred Requirements:

• FINRA Series 4 license
• Insurance license designations

Why Advisor Group

• Competitive salary and annual bonus paid based on performance
• Generous time off package, including paid time off, paid holidays, and paid time to volunteer in the community
• Immediate access to extensive benefits package that includes medical, dental and vision coverage, basic life insurance, long and short-term disability coverage and much more
• 401(k) match from day one of employment
• Referral bonuses if we hire your referred applicants to our open positions
• An enriching and engaging career in financial services - our employees overwhelmingly report that they find meaning and purpose in their day to day work
• Executive leader access and interaction in all our locations due to flat structure, open office environments, town halls and speed mentoring events