Job Details
Supervision Principal
About IFP
We are a broker-dealer and RIA providing support to financial advisors in all areas of their business: compliance, technology, marketing, operations, practice management, and more. Our goal is to be the easiest and most frictionless firm to work with for financial advisors and we are looking for creative and talented people to help us perpetually strive toward that goal. At IFP, innovation and user experience drive everything that we do. We are growing fast, and as we grow, we are excited to provide current and prospective employees new and exciting opportunities.
Job Responsibilities
We are looking for a Supervision Principal, reporting to our Director of Supervision.
Responsibilities include:Monitoring the sales practice activities of IFP s financial professionalsReviewing and approving client new account documentation and trade recordsConducting suitability and best interest reviews of customer trading activity in securities, including mutual funds, variable annuities, equities, fixed income securities, etc. to ensure compliance with all internal procedures and industry regulations.Analysis of complex suitability reviews to detect trends, trading patterns, and rules violations, to ensure adherence to securities industry regulations.Monitoring IFP Advisor s trading activity, documenting findings, and managing concerns.Assist in developing processes and procedures to ensure adherence to supervision requirements as required by FINRA, SEC, State and other regulatorsInterpreting, applying, and recommending changes to organizational policies and procedures
Job Qualifications:
We are looking for candidates with the following qualifications:
3-7 years of experience in a compliance, supervision, and/or operations role at a BD and/or RIAFINRA Series 7, 66, Series 9/10. Potentially consider Series 24 and 4 instead of series 9/10. Series 63 and 65 can be substituted for the Series 65. Knowledge of Investment Advisers Act, FINRA, SEC, state securities rules and regulations