Realta Wealth is seeking a dedicated and detail-oriented General Securities Supervision Principal to join our supervisory team. This position plays a key role in maintaining regulatory compliance and ensuring the highest standards of advisor oversight.
This position reports to the Head of Supervision.
Responsibilities include, but are not necessarily limited to:
Maintains ongoing positive relationship with financial professionals in collaboration with the Chief Supervision Officer and senior and fellow staff members.
Engages in supervisory office visits and annual practice reviews as assigned.
Monitor and perform advertising review
Follow up on audit findings and actively addresses potential compliance issues to minimize risk to the client, branch and firm.
Monitors, reports and enforces internal controls to ensure compliance with industry standards and the firm's policies and procedures.
Works with financial professionals to address concerns and to educate on supervisory processes.
Assists in implementation of policy and procedures for the facilitation of first line supervision on new and existing initiatives.
Identifies suspicious patterns of practice, conducts investigations and, based on findings and current guidelines, takes appropriate corrective action as needed in collaboration with the Chief Supervision Officer and Compliance.
Development and training of new financial professionals and staff with regards to broker-dealer and RIA policies and procedures for compliance and supervision.
Work in conjunction with IT to beta test and provide feedback on new technology used for the Supervision Department and first line supervisors.
Coordinates and enforces heightened or special supervision of branch offices or financial professionals as needed.
Works on delegated and collaborative cross-functional projects.
Research and support operational and business issues in support of financial advisers and firm staff as needed.
Establish and maintain effective relationships with business partners and service providers.
Performs other duties as required.
Travel required as dictated by above responsibilities.
Qualifications:
Bachelor's degree required
Minimum 3 years of relevant experience
FINRA Series 7 and 24 required, 79 preferred
FINRA Series 4, 53, 65/66 preferred
Excellent written and verbal communication skills
Excellent teamwork and collaboration skills.
Proficient with MS Office (Outlook, Word, Excel, PowerPoint)
Exhibits integrity, professionalism, practical judgment, positive attitude at all times; exhibits perseverance, leadership, mental toughness and initiative in the face of problems and challenges; must be able to take direction and accept constructive criticism.