Aston Carter Supervisory Principal - Fully Remote in Fort Mill, South Carolina
Our Supervisory Principal will be responsible for serving as the OSJ/Branch Office Manager for advisors located within an assigned region. Our Supervisory Principal will be responsible for ensuring that the assigned financial advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm. This individual with be responsible for reviewing annuity related transactions for suitability and documentation. Also, assist with regulatory exams and requests as well as assist with the maintenance of the department’s written supervisory procedures.
Minimum Education Required: Undergraduate degree in Business, Accounting, Finance or related discipline.
Minimum Experience Required: 4+ years industry experience
Licenses/Certifications: Series 7, 66 (or 63 and 65), 24 (or 9 and 10) required; Series 53, 4 and Life and Health Insurance License a plus
Software/Systems: All Microsoft applications, particularly, Excel, Word, Access, PowerPoint
Knowledge of mutual funds, annuities, general securities, and other financial products required
Ability to work in a fast paced/high volume environment and be flexible with work schedule
Strong knowledge of FINRA SEC, and State rules and regulations
Ability to develop compliance systems and strategies for effective supervision
Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position
Excellent oral and written communication skills
Ability to make regulatory and supervisory-based decisions will be necessary to complete the day-to-day functions of the role and for staff support in their role as Branch Office Manager
Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential
Excellent management, and human relations skills
About Aston Carter:
At Aston Carter, we’re dedicated to expanding career opportunities for the skilled professionals who power our business. Our success is driven by the talented, motivated people who join our team across a range of positions – from recruiting, sales and delivery to corporate roles. As part of our team, employees have the opportunity for long-term career success, where hard work is rewarded and the potential for growth is limitless.
Established in 1997, Aston Carter is a leading staffing and consulting firm, providing high-caliber talent and premium services to more than 7,000 companies across North America. Spanning four continents and more than 200 offices, we extend our clients’ capabilities by seeking solvers and delivering solutions to address today’s workforce challenges. For organizations looking for innovative solutions shaped by critical-thinking professionals, visit AstonCarter.com. Aston Carter is a company within Allegis Group, a global leader in talent solutions.
The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.
If you would like to request a reasonable accommodation, such as the modification or adjustment of the job application process or interviewing process due to a disability, please call 888-237-6835 or email firstname.lastname@example.org (%email@example.com) for other accommodation options. However, if you have questions about this position, please contact the Recruiter located at the bottom of the job posting. The Recruiter is the sole point of contact for questions about this position.
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