Wealth Management Supervisory Principal

Empower Finance; Pateros; On-site; PHP 1,200,000 - 2,400,000; Full time

Job summary

Empower Finance in the Philippines is seeking an experienced wealth management professional to serve as Supervisory Principal for the Investment Service team. You will oversee complex participant escalations, review trades, and ensure compliance with FINRA, SEC, and internal requirements.

In collaboration with leadership, you will coach associates to improve wealth management conversations and maintain participant-focused service.

Qualifications

• Bachelor's degree or equivalent financial services experience.
• Minimum of 5 years wealth management experience.
• FINRA Series 7, 24, 63, and 65 or 66 within timelines.
• FINRA Fingerprinting required.
• Experience with brokerage trading and trade approvals.
• Experience resolving escalated client issues.
• Deep knowledge of wealth management and tax-exempt strategies.
• Ability to coach and train associates.
• Strong judgment and dependability.
• Knowledge of FINRA/SEC requirements.
• Experience with supervisory/principal reviews.
• Experience with Best Interest Profile reviews.

Responsibilities

• Serve as a supervisory Principal for the Investment Service team.
• Handle escalated participant and client calls; research issues and resolve.
• Provide coaching to associates based on call monitoring and escalations.
• Perform Best Interest Profile supervisory reviews and documentation.
• Review and approve brokerage trades and implement corrections.
• Conduct fraud verification for distributions above policy thresholds.
• Research and resolve participant account questions per FINRA/SEC.
• Develop training materials and resources with management.
• Lead meetings, training, and department initiatives.
• Work independently evaluating calls and approving trades.

Skills

Wealth management

Coaching

Quality monitoring

Regulatory compliance

Trade approvals

Issue resolution

Independent work

Supervisory reviews

Training materials

FINRA/SEC knowledge

Education

Bachelor's degree or equivalent financial services experience

Job description

Empower Finance in the Philippines is seeking an experienced wealth management professional to serve as Supervisory Principal for the Investment Service team. You will oversee complex participant escalations, review trades, and ensure compliance with FINRA, SEC, and internal requirements.

In collaboration with leadership, you will coach associates to improve wealth management conversations and maintain participant-focused service.