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Home Office Principal I

Company: Advisor Group
Location: Phoenix
Posted on: January 16, 2022

Job Description:

Field Supervision Opportunity in Financial Services
Home Office Principal - Triad

Location: Phoenix, open to remote opportunities

Type: Full-time

The Home Office Principal I will be responsible for serving as the OSJ/Branch Office Manager for Independent Financial Advisors located within an assigned region. This role will be responsible for ensuring that the assigned financial professionals are meeting the standards and requirements of supervision set by regulatory agencies and the firm.

Reviews electronic correspondence through email monitoring system
Creates and analyzes monthly reports designed to detect transaction-based risk
Assists in the development of risk management procedures
Accept new accounts on behalf of the firm
Conduct post review of trades for suitability
Performs initial principal review of mutual fund, variable annuity and alternative investment business
Prepares additional Supervision reports as requested
Performs OSJ license review and transaction review in the Trade Monitor system.
Develops additional compliance reports as necessary
Monitors for adherence to FINRA Rule 2273
Reviews outside business activities
Monitors new advisor training
All other duties as assigned

Education Requirements:
Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Basic Requirements:
4+ years securities industry experience required
1+ years compliance, supervision or surveillance experience required
FINRA Series 7, Series 24 required
Series 53 required to be obtained within 12 months
Ability to work on a regular predictable basis
Ability to maintain confidentiality
Working knowledge of Microsoft Word, Excel, Outlook and other Web-based applications.
Exceptional interpersonal and team-building skills
Excellent verbal and written customer service, telephone, troubleshooting and communication skills
Strong customer service skills required
Possess excellent organizational skills with the flexibility to readily adapt to change
Must be detailed oriented, able to multi-task and have the ability to implement projects consistent with established company and customer objectives

Preferred Requirements:
FINRA Series 66 license
Insurance license designations
Be A Part Of The Team Behind Our Success!
At Advisor Group, we support financial professionals across the nation, the people who help everyday Americans achieve their dreams. We're a billion-dollar business with the mentality and drive of a startup. Join us in building something special. Equal Opportunity Employer

Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.
Unqualified Applications

Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.
Recruiting Agencies

Advisor Group only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.

Keywords: Advisor Group, Phoenix , Home Office Principal I, Education / Teaching , Phoenix, Arizona

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