Investments Regional Supervision Principal

frostbank; Austin (TX); On-site; USD 120,000 - 190,000; Full time

Benefits offered by this job

Medical, dental, vision, long-term dis

401(k) matching

Generous holiday and paid time off

Tuition reimbursement

Extensive health and wellness programs

Employee referral program

Job summary

Frost invites applications for an Investments Regional Supervision Principal in Austin, TX. You will oversee the operations and compliance of Frost’s regional branches, partner with sales to align on regulatory requirements, and drive process improvements with integrity, care, and excellence.

You bring a Bachelor's degree, 4+ years of supervisory experience in financial services, strong regulatory knowledge, and FINRA licenses.

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.
• Proficient in Microsoft Office 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

Responsibilities

• 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.

Skills

Management experience

Regulatory knowledge

Communication skills

Microsoft Office

Education

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

Tools

Microsoft Office

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.