Supervisory Principal

Supervisory Principal

Requirements

• Significant experience in Capital Markets and the financial industry.
• Cross-disciplinary knowledge of compliance, operations, trading.
• Required Licenses: Series 7, 9/10, 31, 63 & 65 (or 66). Candidates willing to obtain missing licenses within 120 days are also encouraged to apply. Series 24, 4 in lieu of 9/10.
• Strong teamwork orientation.
• Excellent written and verbal communication skills.
• Project management skills.
• Ability to work under pressure, meet deadlines, and multitask in a fast-paced environment.
• Proactive and resourceful attitude.

Responsibilities

• Overseeing Investment Activities: Candidate will be responsible for providing oversight of various activities performed by the trade desks.
• Supervisory Oversight: Reviewing escalated surveillance issues, performing transaction surveillance, providing compliance/supervisory guidance to sales & trading teams, and maintaining and enhancing the control and supervisory culture.
• Regulatory Compliance: Monitoring regulatory developments, managing communications review and approval, and ensuring adherence to policies and standards.
• Review and approval of brokerage and capital markets activities, including business affiliations, personal trading and outside business activities.
• Managing, reviewing, and approving syndicate offerings including equity, fixed income and structured products.
• Assist with oversight of trading systems, rules engines and platforms used by Wealth Markets traders.
• Direct engagement with trade error remediation, reporting, escalation, tracking & metrics.
• Participating in and leading calls on Capital Markets topics.
• Monitoring continuing education and licensing requirements.
• Maintaining files associated with the OSJ (Office of Supervisory Jurisdiction).
• Assisting with various delegated tasks, projects, audits, compliance testing, and regulatory inquiries.
• Interfacing with Legal, Compliance, and Control partners.
• Assist with resolution of client complaints.
• Understanding various trading platforms and systems.
• Assisting with developing and contributing to system control enhancements across the business, systems, and platforms.

Preferred Qualifications

• Knowledge of Rates & other Derivatives a plus.