Job DescriptionWho you are:
As an Investments Regional Supervision Principal, you will be responsible for ensuring that all branches are adhering to company policies and regulatory guidelines. You will help bring value to the organization by working closely with sales teams to develop and implement strategies to achieve compliance requirements. Our managers enjoy collaboration, often working with compliance and risk management teams to identify and mitigate risks across the state. You welcome a challenge and strive to continuously improve processes with integrity, caring and excellence in mind.
What you’ll do:
- Oversee the operations and compliance of the company's regional branches
- Ensure that all branches are adhering to company policies and regulatory guidelines
- Identify and mitigate risks within the branches
- Work closely with sales teams to develop and implement strategies to achieve compliance requirements.
- Monitor branch performance and provide guidance and support to improve performance
- Prepare reports and presentations to communicate branch performance to senior management
- Stay current with industry developments and regulations
- Collaborate with the compliance and risk management teams to identify and mitigate risks
- Periodic travel for in person team meetings
- Always take action using Integrity, caring and Excellence to achieve all-win outcomes
What you’ll need:
- Bachelor’s degree in business administration, finance, or related field; or equivalent experience
- 4+ years of experience in management and supervision of financial services branches
- Strong knowledge of financial products, services, and regulatory environment
- Excellent written and verbal communication skills
- Proficient in Microsoft computer applications
- FINRA Series 7 and 65 or 66
- FINRA Series 24 or 9/10, if 24, then Series 53 is required or the ability to obtain within 120 days from employment
- Texas General Lines Agent License: Life, Accident, Health and HMO or ability to obtain within 90 days
Additional Preferred Skills:
Our Benefits:
At Frost, we care about your health, your family, and your future and strive to have our benefits reflect that. This includes:
- Medical, dental, vision, long-term disability, and life insurance
- 401(k) matching
- Generous holiday and paid time off schedule
- Tuition reimbursement
- Extensive health and wellness programs, including our Employee Assistance Program
- Referral bonus program + more!
