Senior Supervisory Principal

Job not on LinkedIn

🔥 1 minute ago

Apply Now

Find Similar Remote Jobs

Set Up Email Alert For New Jobs

📊 Check your resume score for this job

Improve your chances of getting an interview by checking your resume score before you apply.

Upload Resume

Dayforce

WebsiteLinkedInAll Job Openings

5001 - 10000 employees

👥 HR Tech

☁️ SaaS

🏢 Enterprise

💰 $1G Post-IPO Debt - Dayforce on 2024-03

HR Tech • SaaS • Enterprise

Dayforce is a cloud-based human capital management (HCM) platform from Ceridian. It provides integrated payroll, HR, workforce management, benefits administration, talent management, scheduling, and related employee lifecycle services in a single SaaS solution. Dayforce is designed for employers and HR/people-operations teams to handle payroll processing, time and attendance, workforce optimization, and compliance in a unified enterprise system.

📋 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 • 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. • Series 7, 24 or 9/10, and 66 or 63/65 required • Series 53, 24 if 9/10 only, required within 3 months of hire • Series 4, Life and Health Insurance licenses a plus, but not required