Regional Supervisory Principal

WHAT WE CAN OFFER YOU:

• Estimated Salary: $75500- $100000 plus annual bonus opportunity.
• 401(k) plan with a 2% company contribution and 6% company match.
• Work-life balance with vacation personal time and paid holidays. See our benefits and perks page for details.
• Applicants for this position must not now nor at any point in the future require sponsorship for employment.

WHAT YOULL DO:

• Oversee and supervise sales activity for Registered Representatives and Offices of Supervisory Jurisdiction within an assigned region.
• Partner with advisors and agents to support sales execution financial planning strategies and practice management initiatives.
• Review and approve new accounts transactions correspondence and outside business activities to ensure suitability compliance and firm standards.
• Monitor supervisory reports investigate exceptions and audit findings and take appropriate corrective action.
• Serve as a trusted supervisory and compliance resource providing guidance training support and coordinating office inspections as needed.

WHAT YOULL BRING:

• 5 years of experience in a securities supervision compliance or related role within the financial services industry.
• Active FINRA registrations (Series 7 or 1; Series 24 or 9/10; Series 63/65 or 66; Series 53) with the ability to obtain and maintain required state licenses IAR registration principal registration and bonding.
• Strong working knowledge of FINRA SEC and MSRB rules with the ability to analyze sales activity exception reports and investigations to ensure regulatory and firm compliance.
• Proven ability to work independently manage complex priorities and make sound rulebased decisions under pressure while maintaining confidentiality and professionalism.
• Excellent communication and leadership skills with the ability to engage diverse stakeholders support issue resolution and travel up to 10% with flexibility across time zones.
• You promote a culture of diversity and inclusion value different ideas and opinions and listen courageously remaining curious in all that you do.
• Ability to work at our home office located in Omaha Nebraska or a listed location in a hybrid environment.

PREFERRED:

• 5-10 years of supervision/compliance experience within securities industry
  Registration as a FINRA Registered Options Principal.

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We value diverse experience skills and passion for innovation. If your experience aligns with the listed requirements please apply!

If you have questions about your application or the hiring process email our Talent Acquisition area at . Please allow at least one week from time of applying if you are checking on the status.

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