Regulatory Supervision Lead – Financial Services

Steward Partners; United States; On-site; USD 100,000 - 140,000; Full time

Job summary

Steward Partners, a leading employee-owned independent private financial services firm, seeks a Supervisory Principal to oversee sales practices and branch staff across locations, partnering with Compliance to implement supervisory processes and mitigate risk.

The role emphasizes audits, data reporting, policy enhancement, and maintaining records; requires 1-3 years in financial services and licenses (Series 7/24 or 9/10, 53/4, 63/65/66).

Qualifications

• Bachelor's degree or equivalent work experience.
• 1-3 years in financial services.
• Strong written and verbal communication.

Responsibilities

• Review securities transactions on electronic trade blotter and identify sales practice concerns.
• Address account-level suitability alerts for brokerage and advisory accounts.
• Escalate matters to Field Supervisory Officer as needed.
• Run reports and collect data in response to regulatory inquiries.
• Coordinate with Supervision leadership on data/metrics reporting.
• Support evolving supervisory policies, procedures, and systems.
• Perform reviews using compliance systems; present data to management.
• Maintain books and records with proper notes.
• Investigate and resolve client complaints with Compliance.
• Stay informed on industry trends to ensure supervisory practices are current.
• Contribute to projects upgrading regulatory systems and processes.
• Collaborate with Operations and Compliance on policy enhancements.

Skills

Regulatory awareness

Analytical thinking

Effective communication

Independent judgment

Multi-tasking

Education

Bachelor’s degree or equivalent

Tools

Excel

PowerPoint

Word

SharePoint

Project

Job description

Steward Partners, a leading employee-owned independent private financial services firm, seeks a Supervisory Principal to oversee sales practices and branch staff across locations, partnering with Compliance to implement supervisory processes and mitigate risk.

The role emphasizes audits, data reporting, policy enhancement, and maintaining records; requires 1-3 years in financial services and licenses (Series 7/24 or 9/10, 53/4, 63/65/66).