Supervising Principal

Supervise sales activities of Financial Professionals in an assigned territory by reviewing new business, correspondence, and email. Investigate questionable transactions, take corrective actions, and answer compliance questions from staff. Conduct Designated Supervisor visits to business locations, completing checklists and reviewing office and client files. Participate in pre-audit briefings with Branch Examinations and assist the Compliance Department in investigating investor complaints, including analyzing alleged losses and interviewing managers. Develop criteria for identifying FPs requiring Special Supervision and create customized monitoring programs. Contribute to updating procedural manuals, creating compliance memorandums, and presenting at training meetings.