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Aston Carter Supervisory Principal in Salt Lake City, Utah

Description:

Our Supervisory Principal will be responsible for serving as the OSJ/Branch Office Manager for Independent Financial Advisors located within an assigned region. Our Supervisory Principal will be responsible for ensuring that the assigned financial advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm.

Essential Functions:

• Review and approval of new account applications, reviewing transactions on a trade blotter, review and approval of variable annuities, mutual funds, and securities transactions for suitability and documentation, advisor email and client correspondence.

• Serve as the primary point of contact for all compliance related matters for assigned advisors.

• Conduct business practice reviews as needed and investigate sales practice concerns as they arise. Serve as point person for investigations and recommend disciplinary action as needed.

• Serve on various committees and projects as determined by HOS Management.

• Some travel may be required to conduct branch office visits, attend regulatory and Firm conferences as needed and attend training sessions at LPL’s home office.

• Assist with regulatory exams and requests as well as assist with the maintenance of the department’s written supervisory procedures.

Qualifications:

• Minimum Education Required: Undergraduate degree in Business, Accounting, Finance or related discipline.

• Minimum Experience Required: 4+ years industry experience

• Licenses/Certifications: Series 7, 66 (or 63 and 65), 24 (or 9 and 10) required; Series 53, 4 and Life and Health Insurance License a plus

• Software/Systems: All Microsoft applications, particularly, Excel, Word, Access, PowerPoint

Skills:

supervisory skills, compliance regulations, Advisory, Series 7, Series 66, Series 24, Series 53, Series 4

Top Skills Details:

supervisory skills, compliance regulations, Advisory, Series 7, Series 66, Series 24

Additional Skills & Qualifications:

Additional Requirements:

• Knowledge of mutual funds, annuities, general securities, and other financial products required

• Ability to work in a fast paced/high volume environment and be flexible with work schedule

• Strong knowledge of FINRA SEC, and State rules and regulations

• Ability to develop compliance systems and strategies for effective supervision

• Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position

• Excellent oral and written communication skills

• Ability to make regulatory and supervisory-based decisions will be necessary to complete the day-to-day functions of the role and for staff support in their role as Branch Office Manager

• Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential

• Excellent management, and human relations skills

Experience Level:

Expert Level

About Aston Carter:

Aston Carter is a distinguished global provider of recruitment and staffing services to companies requiring highly specialized business professionals. As a Best of Staffing® Client and Talent leader, Aston Carter has an unrivaled commitment to delivering first class service to clients and business professionals across a variety of disciplines, including Accounting and Finance as well as Governance, Risk and Compliance. With more than 60 offices across Europe, Asia Pacific and North America, Aston Carter provides local, regional and global expertise to drive value and meet our customers' unique needs. Aston Carter is a division of Aerotek. Aerotek is an operating company of Allegis Group, a global talent solutions provider.

The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.

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