Position Profile

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Regional Supervising Principal
Position# 2690
Location:  Field position, access to airport (ideally metropolitan area).
Education Requirements:  Four-year college degree, (or equivalent work experience).
Other Requirements:  Include:

Salary Range:  $110k to $120k + bonus
Description:  The purpose of this position is to supervise activities related to suitability of our Client’s Registered Representative sales activities within a defined region, as well as acting in a quality assurance capacity.  The Regional Supervising Principal will be responsible for serving as the OSJ/Branch Office Manager for Independent Financial Advisors located within an assigned region, in addition to oversight of field OSJ offices in the region.  This role will be responsible for ensuring that the assigned financial advisors are meeting the standards and requirements of supervision set by regulatory agencies and the firm.   Title of supervisor to this position: Director, AIC Supervision.  Titles of those reporting directly to this position:  None.  Duties and responsibilities include:

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