What are the responsibilities and job description for the Investment Supervisory Principal position at Stratos Wealth Partners?
Description
Stratos Wealth Partners (SWP) is seeking a highly accountable individual to support the supervision and compliance initiatives of the firm. SWP provides a platform of Broker-Dealer and RIA services for our registered representatives/advisors. We are looking for an experienced individual to focus on the daily supervision tasks associated with brokerage and RIA transactions, reporting to the OSJ Supervisor. We are a growing department that offers room to develop and advance your skills.
Essential Duties and Responsibilities:
Conduct daily supervisory reviews and approvals. Includes, but not limited to:
- Trade Blotter
- Investment Product Switches
- Front Running oversight
- Alternative Investments
- Annuities
- Option Account
- Email surveillance
- Incoming Compliance Inquiries
- Participation in branch exams
- Coordinate supervisory review requirements and escalations with LPL Financial
- Additional projects as assigned
Requirements
Skills / Key Competencies Required:
- Bachelor’s degree
- FINRA SIE, Series 7, and 24 required; Series 53 and 4 a plus
- Familiarity with Orion and Salesforce a plus
- Attention to Detail / Data Organization
- Proficient with technology
- Strong communication skills, written and verbal
- Ability to work in a fast-paced, changing environment
- Collaborative mentality; strong team orientation
Securities offered through LPL Financial, member FINRA/SIPC. Investment advice offered through Stratos Wealth Partners, Ltd., a registered investment advisor and a separate entity from LPL Financial.
Job Type: Full-time
COVID-19 considerations:
Employees of Stratos have a hybrid work schedule, 3 days in either the Beachwood, Ohio or San Diego, California office, 2 days remote.