The Supervisor Principal Associate supports the Sales Supervision Department in the execution of daily supervisory, administrative, and regulatory oversight activities related to Investment Professionals. The position assists Sales Supervisors, the Deputy Head of Sales Supervision, and the Head of Sales Supervision in monitoring sales activities, conducting supervisory reviews, maintaining regulatory compliance, and ensuring adherence to Firm policies and applicable industry regulations. JOB RESPONSIBILITIES/MAIN FUNCTIONSAssist Sales Supervisors and Senior Sales Supervisors in the day-to-day supervision of Registered Representatives and Investment Professionals. Perform administrative and clerical duties related to supervisory reviews, documentation, recordkeeping, tracking logs, and regulatory filings. Work closely with Compliance, Operations, Risk Management, and other internal departments to facilitate supervisory reviews and resolve issues in a timely manner. Support Registered Representatives by providing guidance regarding supervisory processes, documentation requirements, and Firm policies. Escalate identified concerns, trends, or potential regulatory issues to the appropriate Sales Supervisor, Senior Sales Supervisor, Deputy Head of Sales Supervision, or Head of Sales Supervision. Participate in special projects, regulatory examinations, audits, and internal reviews as assigned. Maintain knowledge of applicable regulatory requirements, industry developments, Firm policies, and supervisory procedures. Build key relationships with the Firm’s Investment Professionals, department team members and other key stakeholders to ensure an integral approach to the sales function.
JOB REQUIREMENTS: (EDUCATION AND EXPERIENCE)
Bachelor’s degree in Business Administration, Accounting, Economics, Finance, or a related field. Minimum of two (2) years of relevant professional experience in financial services, operations, or a related industry. Bilingual proficiency in English and Spanish required; Portuguese is a strong plus. Active Series 7 license required to perform essential job functions. Working knowledge of FINRA and SEC regulations and industry compliance standards. Strong interest in pursuing additional FINRA licenses, including Series 24 and Series 4.Proficiency with Microsoft Office applications, including Excel, Word, PowerPoint, and Outlook. Demonstrated commitment to professional growth and continuous learning within the financial services industry. SKILLS AND CAPABILITIESStrong ability to interpret and analyze financial and accounting data, reports, and metrics. Collaborative team player with a self-motivated approach and strong initiative. Working knowledge of custodial platforms and related operational processes. Strong research and problem-solving capabilities. Excellent written and verbal communication skills. Proactive, highly organized, and able to perform effectively under pressure. Strong time management, analytical, and negotiation skills. Client-focused mindset with a strong commitment to delivering exceptional customer service.
