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Senior Supervisory Principal
DayforceSenior Supervisory Principal ensuring compliance and regulatory standards. Partnering with advisors in a remote office-based Supervision department as an individual contributor reporting to the Director of Supervision.
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in supervising Registered Representatives and Investment Advisory Representatives, with a strong focus on compliance, regulatory knowledge, and team development. Proficient in conflict resolution and effective communication within a collaborative environment.
Highest-signal resume keywords
Supervision ExperienceCompliance KnowledgeRegulatory ResearchTraining and MentoringAttention to Detail
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Risk ManagementRegulatory Policy KnowledgeSEC KnowledgeFINRA KnowledgeBD Business PracticesRIA Business Practices
Soft Skills
Written CommunicationVerbal CommunicationConflict ResolutionOrganizational SkillsPresentation Skills
Tools & Technologies
FIS/Sungard/ProtegentEnvestnetAlbridge/Pershing XWealthscapeSmarshRegEdEMoneySalesforceWindows Applications
About the role
Key responsibilities & impact- Responsible for supervising the day-to-day activities of assigned Registered Representatives and Investment Advisory Representatives
- Responsible for the supervisory review of new accounts, trades, annuities, and alternative investments
- Responsible for the supervisory review of written and electronic correspondence
- Conduct field office training as required
- Engage and resolve escalated supervisory, compliance, and other issues as they arise
- Research and prepare draft responses to Regulatory and Legal enquiries
- Strengthen relationships with advisors and their support staff
- Support team members through training, mentoring, and assist with professional development
- Excellent knowledge of compliance issues, firm/regulatory policy, and Kestra approved products
- Other duties assigned by Supervision Leadership
Requirements
What you’ll need- Bachelor's degree and / or 5-7 years industry experience, most recently Supervision or Compliance experience, and/or risk management
- Excellent skills in organization, attention to detail, written and verbal communication, conflict resolution, and presenting
- The qualified candidate will work in a collaborative team environment but be responsible for individual results
- Knowledge of SEC, FINRA, and State rules and regulations
- Knowledge of BD and RIA business practices
- Proficient with Windows applications such as Word, Excel, Teams, and Outlook
- Familiarity with industry tools such as FIS/Sungard/Protegent, Envestnet, Albridge/Pershing X, Wealthscape, Smarsh, RegEd, eMoney, Salesforce, etc.
Benefits
Comp & perks- 🌐 Worldwide ❌ Jobs You've Hidden ⭐️ Saved Jobs ✅ Applied Jobs ✉️ Email Alerts 👤 Account Dayforce Website LinkedIn All Job Openings 5001 - 10000 employees 👥 HR Tech ☁️ SaaS 💰 $1G Post-IPO Debt - Dayforce on 2024-03 HR Tech
- SaaS Dayforce is a cloud-based human capital management (HCM) platform (part of Ceridian) that provides payroll, workforce management (time & attendance), HR, benefits administration, and talent management as an integrated SaaS solution. It is used by employers to streamline workforce processes, run payroll, manage compliance, and gain real-time HR and payroll insights across mid-market and enterprise organizations. Senior Supervisory Principal Job not on LinkedIn 🔥 7 minutes ago 🇺🇸 United States – Remote ⏰ Full Time 🟠 Senior ✨ Principal Apply Now Find Hiring Managers Customize resume + cover letter Report problem ☆ Save ☑️ Mark as applied ❌ Hide 📋 Description
- Responsible for supervising the day-to-day activities of assigned Registered Representatives and Investment Advisory Representatives
- Responsible for the supervisory review of new accounts, trades, annuities, and alternative investments
- Responsible for the supervisory review of written and electronic correspondence
- Conduct field office training as required
- Engage and resolve escalated supervisory, compliance, and other issues as they arise
- Research and prepare draft responses to Regulatory and Legal enquiries
- Strengthen relationships with advisors and their support staff
- Support team members through training, mentoring, and assist with professional development
- Excellent knowledge of compliance issues, firm/regulatory policy, and Kestra approved products
- Other duties assigned by Supervision Leadership 🎯 Requirements
- Bachelor's degree and / or 5-7 years industry experience, most recently Supervision or Compliance experience, and/or risk management
- Excellent skills in organization, attention to detail, written and verbal communication, conflict resolution, and presenting
- The qualified candidate will work in a collaborative team environment but be responsible for individual results
- Knowledge of SEC, FINRA, and State rules and regulations
- Knowledge of BD and RIA business practices
- Proficient with Windows applications such as Word, Excel, Teams, and Outlook
- Familiarity with industry tools such as FIS/Sungard/Protegent, Envestnet, Albridge/Pershing X, Wealthscape, Smarsh, RegEd, eMoney, Salesforce, etc. Apply Now 📊 Check your resume score for this job Improve your chances of getting an interview by checking your resume score before you apply. Check Resume Score Similar Jobs Senior Principal Digital Electrical Engineer 🔥 58 minutes ago RTX 10,000+ employees 🏭 Manufacturing 💼 Consulting 📦 Logistics Website LinkedIn All Job Openings Senior Principal Digital Electrical Engineer designing PCBs at Collins Aerospace focused on communication products. Responsible for PCB design from inception through assembly, mentoring juniors, and collaborating with multi-disciplines. 🇺🇸 United States – Remote 💵 $132.4k - $251.6k / year ⏰ Full Time 🟠 Senior ✨ Principal Senior Country Approval Specialist / Principal Country Approval Specialist 🔥 10 hours ago Thermo Fisher Scientific 10,000+ employees 🏥 Healthcare 📦 Logistics 🏭 Manufacturing Website LinkedIn All Job Openings Senior/Principal Country Approval Specialist managing regulatory submissions for clinical trials at Thermo Fisher Scientific. Overseeing compliance and collaboration with local authorities for submissions process. 🇺🇸 United States – Remote ⏰ Full Time 🟠 Senior ✨ Principal 🦅 H1B Visa Sponsor Principal Specialist – Digital Cutover Lead 🕒 Yesterday RTX 10,000+ employees 🚀 Aerospace 🎖️ Defense 🏭 Manufacturing Website LinkedIn All Job Openings Cutover Lead for RTX's oneRTX initiative managing complex business process transformations. Drive cutover planning and execution while collaborating with cross-functional teams across the aerospace and defense sector. 🇺🇸 United States – Remote 💵 $86.8k - $165.2k / year 💰 $200k Grant - RTX on 2024-11 ⏰ Full Time 🟠 Senior ✨ Principal Senior/Principal Country Approval Specialist 🕒 July 22 Thermo Fisher Scientific 10,000+ employees 🏥 Healthcare 📦 Logistics 🏭 Manufacturing Website LinkedIn All Job Openings Senior/Principal Country Approval Specialist coordinating local regulatory submissions for clinical trials. Managing compliance and communication with local regulatory authorities and project teams. 🇺🇸 United States – Remote ⏰ Full Time 🟠 Senior ✨ Principal 🦅 H1B Visa Sponsor Principal Specialist, Digital Cutover Lead 🕒 July 16 RTX 10,000+ employees 🏭 Manufacturing 💼 Consulting 📦 Logistics Website LinkedIn All Job Openings Cutover Lead responsible for overseeing cutover planning and execution for RTX's system transformation initiatives. Collaborating with teams to optimize processes and metrics across the organization. 🇺🇸 United States – Remote 💵 $86.8k - $165.2k / year ⏰ Full Time 🟠 Senior ✨ Principal 🌐 Worldwide Built by Lior Neu-ner. I'd love to hear your feedback — Get in touch via DM or support@remoterocketship.com Search Search Jobs by country Search jobs by city Search jobs by job title Search entry-level jobs Search junior-level jobs Search senior-level jobs Search jobs by tech stack Search jobs by contract type Search remote internships Search remote part-time jobs Remote jobs Anywhere in the World Companies Hiring Anywhere in the World Companies Hiring Sales People Anywhere in the World Companies Hiring Software Engineers Anywhere in the World Resources Advice Tips for finding remote jobs Interview questions and answers Resume examples Cover letter examples Post a job Affiliates Is Remote Rocketship legit? Privacy policy Terms of service Job board SEO course Remote Job Search MasterClass AI Apply Copilot OpenClaw job finder Find jobs using your resume Jobs by Country Remote jobs anywhere in the world (Worldwide remote jobs) Remote jobs United States Remote jobs Australia Remote jobs Brazil Remote jobs Canada Remote jobs France Remote jobs Ireland Remote jobs Germany Remote jobs Netherlands Remote jobs Spain Remote jobs UK Popular Jobs Remote data analyst jobs Remote customer support jobs Remote executive assistant jobs Remote marketing jobs Remote product designer jobs Remote product manager jobs Remote project manager jobs Remote recruiter jobs Remote sales jobs Remote software engineer jobs Jobs by Type Remote full-time jobs Remote part-time jobs Remote contract jobs Remote internship jobs Remote entry-level jobs Remote jobs with no experience required Remote junior jobs (1-3 years of experience) Digital nomad jobs Remote jobs with no degree required Freelance remote jobs Temporary remote jobs Remote jobs hiring now Stay at home mom jobs