The role of the Regulatory Principal is to review and approve all new accounts and communicate with the Advisor any issues regarding account suitability.  The Regulatory Principal is responsible for communicating with Financial Advisors regarding Written Supervisory Procedures to ensure continued adherence to these procedures.

KEY JOB FUNCTIONS
 
All responsibilities are generally performed on a daily basis, unless otherwise noted.  Specific responsibilities include, but are not limited to:
 
• Provide thorough review of new business to determine account suitability. 
• Approve new business that is suitable.
• Communicate with Advisors with questions regarding suitability of transactions to get clarification for approval.
• When new business is deemed to be unsuitable for the client, educate Advisor regarding unsuitability and provide alternative solutions.
• Maintain accurate knowledge of all product lines.
 
ADDITIONAL RESPONSIBILITIES
• Identify and recommend ideas for process and procedure improvements.
 
QUALIFICATIONS
• College Degree required in a related field or equivalent work experience.
• 3+ years experience in the securities industry.
• Knowledge of compliance and regulatory requirements.
• Series 7, 24 and 63 required.
• Must be willing to obtain series 4, 53 and 65/66 within 180 days.  

SKILLS
• Excellent verbal and written communication skills required.
• Strong analytical and problem solving skills required.
• Strong attention to detail and ability to multi-task required.
• Must have the ability to work effectively independently, as well as in a team environment.
• Must have strong computer skills, including proficiency in MS Office applications including Excel and Word.