Supervision Principal, Electronic Communications Supervision
$70,000–$75,000 year
HybridAtlanta, Georgia, United States or St. Petersburg, Florida, United States
Job Summary
Review electronic communications for financial professionals, including emails, text messages, and Teams messages, to ensure compliance with regulatory standards and internal policies. Work with team members to address concerns, educate on firm policies, and manage escalated issues with management and supervision personnel. Independently maintain department deadlines and service levels while developing relationships with internal business partners. Participate in ongoing training to identify risks in communications and interpret regulatory documents. This role supports Osaic's Financial Professionals across Atlanta, La Vista, Oakdale, Scottsdale, and St. Petersburg hubs on a hybrid schedule requiring minimum four days in the office.
Required Qualifications
- Bachelor's Degree Preferred, H.S. Diploma or GED certificate + Significant Practical Experience will be considered
- FINRA Series 7, 24 (or 9/10)
- Basic understanding of FINRA and SEC rules regarding communications with the public
- Ability to effectively handle and prioritize multiple task in a fast-paced environment to meet defined deadlines
- Strong analytical and problem-solving skills
- Ability to work in a time-sensitive environment
- Excellent written and oral communication skills, including the ability to diplomatically find solution to assist Financial Professionals and internal business partners
- Ability to read and interpret documents, including firm policy/procedures and regulatory documents
- Minimum of 4 days weekly in the office
- Applicants should be located at one of our hubs listed above
Desired Qualifications
- Proactive in identifying and mitigating risks
- Thrives in a collaborative environment
- 2+ years' experience in a Principal capacity
- 63/65 or 66 preferred
- Currently or previously employed at an independent broker-dealer
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