Skip to main content

CSI Regional Risk & Supervision Principal

Wealth and Asset Management, Audit, Risk

Fairlawn, Ohio; Southfield, Michigan; Columbus, Ohio

Req. Number: 224969

Full/Part Time: F

Shift: 1st Shift

Description

The primary function of the Regional Supervisory Officer is to provide direct supervision of Registered Representatives (Financial Advisors and Wealth Client Consultants) within the designated geographic region(s).  The Regional Supervisory Officer will maintain ongoing relationships with their designated Registered Representatives (RRs) to educate guide and ensure that the assigned Registered RRs are meeting the standards and requirements set forth by regulatory agencies and firm policies and procedures.

Key Responsibilities

  • Direct supervision of RRs for the broker dealer; provide supervision, guidance, advice and training.
  • Ensure RRs understanding and compliance with all firm and industry requirements by proactively communicating the firm’s policies and procedures.
  • Conduct regular branch exams as required in the Written Supervisory Procedures (WSP).
  • Respond to findings from Compliance / Internal Audit branch exams.
  • Identify and execute trainings based on RR need.
  • Actively monitor available reports/systems and act as needed.
  • Assist in the resolution of heightened transaction review and other situations from the Principal Review Desk.
  • Review and approve / deny written correspondence / communication with the public in accordance with regulations and firm policies.
  • Refer to and provide input to Compliance on regulatory / firm violations, sales practice issues, recommend and monitor heightened supervision as needed.
  • Review and approve / deny Outside Business Activity.
  • Maintain Office of Supervisory Jurisdiction (OSJ) as required by the WSP
  • Maintain comprehensive knowledge of key industry topics, internal programs, regulatory requirements, and firm policies and procedures.
  • Identify suspicious patterns in sales and business practices.  Conduct investigations and take appropriate corrective action as needed in collaboration with Regional Sales Managers and other internal business units.
  • Support Home Office supervisors in the general supervision of RRs.
  • Actively promote awareness and compliance with policies and procedures through consistent and proactive communication with assigned region.
  • Participate in special projects, as request by Management.

Qualifications

  • In-depth knowledge of FINRA, SEC, and state rules and regulations.
  • Must be self-reliant and able to carry out duties and responsibilities with minimal direct supervision.
  • Ability to make regulatory and supervisory-based decisions in a fast paced/high volume environment.
  • Strong leadership skills and ability to influence.
  • Strong conflict management and problem solving skills.
  • Excellent written and oral communication and interpersonal skills.
  • Organizational skills and the ability to prioritize multiple priorities.
  • Ability to travel within region at least 25% of time.
  • Proficiency in MS office projects.

Experience

  • Bachelor’s degree
  • 7+ years of advisory or brokerage experience, preferably in compliance, field management / supervision
  • Licenses / Certifications required: FINRA Series 7, 24, 65/66, Resident Life, Health,  Accident and Variable Insurance
  • Certified Retirement Counselor (preferred)
  • Prior management experience a plus.

Benefits

We offer competitive pay, comprehensive medical, dental and vision coverage, retirement benefits, maternity/paternity leave, flexible work arrangements, education reimbursement, wellness programs and more.

View Benefits

Awards We've Received

2022

Human Rights Campaign Best Places to Work for LGBTQ Equality

2021

Dave Thomas Foundation Best Adoption-friendly Workplace

2021

DiversityInc
Noteworthy Company for Diversity

2021

Military Friendly Employer

Apply
0