Securities Regulatory Supervisory Principal

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 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. Including, but not limited to:
  • New Account Opening Paperwork
  • Trade Blotter Reviews
• Email surveillance
• Incoming Compliance Inquiries
• Participation in branch exams
• Additional projects as assigned

Skills / Key Competencies Required:

• Bachelor’s degree
• FINRA SIE, Series 7, 24 and 65/66 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