Investments Regional Supervision Principal

Frost Bank; Austin (TX); On-site; USD 120,000 - 150,000; Full time

Benefits offered by this job

Medical insurance

401(k) matching

Paid time off

Tuition reimbursement

Wellness programs

Job summary

Frost Bank is seeking an Investments Regional Supervision Principal to oversee regional branches, ensure policy adherence and regulatory compliance across Texas, and work with sales to implement compliant strategies.

The role focuses on mitigating risks, improving branch performance, and reporting outcomes to senior management. Periodic travel is required; ideal candidates hold relevant FINRA licenses and a Texas life/health line license or the ability to obtain them promptly.

Qualifications

• Bachelor’s degree in business administration, finance, or related field or equivalent experience.
• 4+ years of management and supervision of financial services branches.
• Strong knowledge of financial products, services and regulatory environment.
• Excellent written and verbal communication skills.
• Proficiency with Microsoft Office applications.
• FINRA Series 7 and 65 or 66; Series 24 or 9/10 plus 53 when applicable or obtainable within 120 days.
• Texas General Lines Agent License: Life, Accident, Health and HMO or obtainable within 90 days.
• Additional: FINRA Series 4.

Responsibilities

• Oversee operations and compliance of regional branches.
• Ensure branches adhere to policies and regulatory guidelines.
• Identify and mitigate risks within branches.
• Collaborate with sales to develop compliant strategies.
• Monitor branch performance and provide guidance to improve results.
• Prepare reports for senior management on branch performance.
• Stay updated on industry developments and regulations.
• Collaborate with compliance and risk teams to mitigate risks.
• Travel periodically for in-person team meetings.
• Act with integrity, care and excellence to achieve outcomes.

Skills

Leadership

Communication skills

Regulatory knowledge

Travel readiness

Education

Bachelor’s degree in business administration, finance, or related field

Tools

Microsoft Office

FINRA Series 7/65/66

FINRA Series 24/9/10

Series 53 (required or within 120 days)

Series 4

Texas General Lines Life/Accident/Health/HMO license or within 90 days

Job description

Job Description

It’s about expecting great things and making them happen. Do you have a knack for paying attention to all the small details? Are you known for your goal-oriented mindset and always thinking one step ahead? Are you ready to facilitate all the moving pieces to help deliver a top-quality investments experience? If so, being an Investments Regional Supervision Principal with Frost could be for you. At Frost, it’s about more than a job. It’s about having a flourishing career where you can thrive, both in and out of work. At Frost, we’re committed to fostering an environment that reflects our values and encourages team members to be the best they can be. In joining our adaptable, integrity-driven team, you’ll become part of Frost’s over 150-year legacy of providing unparalleled banking services.

Who you are:

As an Investments Regional Supervision Principal, you will be responsible for ensuring that all branches are adhering to company policies and regulatory guidelines. You will help bring value to the organization by working closely with sales teams to develop and implement strategies to achieve compliance requirements. Our managers enjoy collaboration, often working with compliance and risk management teams to identify and mitigate risks across the state. You welcome a challenge and strive to continuously improve processes with integrity, caring and excellence in mind.

What you’ll do:

• Oversee the operations and compliance of the company's regional branches
• Ensure that all branches are adhering to company policies and regulatory guidelines
• Identify and mitigate risks within the branches
• Work closely with sales teams to develop and implement strategies to achieve compliance requirements.
• Monitor branch performance and provide guidance and support to improve performance
• Prepare reports and presentations to communicate branch performance to senior management
• Stay current with industry developments and regulations
• Collaborate with the compliance and risk management teams to identify and mitigate risks
• Periodic travel for in person team meetings
• Always take action using Integrity, caring and Excellence to achieve all-win outcomes

What you’ll need:

• Bachelor’s degree in business administration, finance, or related field; or equivalent experience
• 4+ years of experience in management and supervision of financial services branches
• Strong knowledge of financial products, services, and regulatory environment
• Excellent written and verbal communication skills
• Proficient in Microsoft computer applications
• FINRA Series 7 and 65 or 66
• FINRA Series 24 or 9/10, if 24, then Series 53 is required or the ability to obtain within 120 days from employment
• Texas General Lines Agent License: Life, Accident, Health and HMO or ability to obtain within 90 days
• Additional Preferred Skills: FINRA series 4

Our Benefits:

• Medical, dental, vision, long-term disability, and life insurance
• 401(k) matching
• Generous holiday and paid time off schedule
• Tuition reimbursement
• Extensive health and wellness programs, including our Employee Assistance Program Referral bonus program + more!

Since 1868, Frost has dedicated their expertise to provide exceptional banking, investment, and insurance services to businesses and individuals throughout Texas. Frost is one of the 50 largest U.S. banks by asset size and is a leader in banking customer satisfaction. At Frost, it’s about being part of something bigger.

Our Most Important Relationship Starts Here

Frost’s commitment to cultivate long‑term relationships is one of the reasons we’re recognized as a premier employer in the financial services industry. To attract qualified professionals, we offer an environment that’s supportive of both your professional and personal goals by providing our employees with competitive salaries and an outstanding benefits package. Frost was named to Forbes magazine’s list of the Best Employers. Frost is a Equal Opportunity Employer and does not discriminate on the basis of any protected trait, including sex, sexual orientation, gender identity, race, ethnicity, disability, or veteran status.

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