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Broker Dealer/Investment Adviser Supervisory Principal

Company: Level Four Group, LLC
Location: Dallas
Posted on: August 7, 2022

Job Description:

Our Team is growing, and we need you! Come be a part of this disruption in the financial services marketplace! By joining the Level Four family of companies, you'll be joining one of the fastest growing wealth management firms in the country. After 20+ years, we still have an entrepreneurial spirit, dedicated to embracing change. We are national in scope with offices throughout the U.S., yet with local roots here in North Texas. We offer:

  • Casual Work Environment
  • Generous Paid Time Off
  • Flexible Work Schedule
  • Great Benefits
  • And More Come take your career path to the next level! Broker Dealer/Investment Adviser Supervisory Principal will serve as a Branch Manager and Supervisory Principal (Generalist role) for an SEC investment advisory firm, Level Four Advisory Services, LLC and its affiliated broker dealer, Level Four Financial Services, LLC. The position requires a professional with diplomatic and analytical skills who can flourish in a challenging, fast-paced and professional environment with frequent shifts in priorities as business needs dictate. The successful candidate will have a proven track record of leadership, strategic thinking, building strong relationships and successful collaboration with internal and external business partners, clients and regulatory bodies. The branch manager/supervisory principal will supervise registered representative activities. The individual will be responsible for various supervisory duties as assigned, which will include review and approval of new accounts, transaction and suitability reviews, post trade blotter review, transactional approvals, email surveillance and review, branch audits, as well as general centralized compliance oversight. Essential responsibilities and tasks of the Supervisory Principal are:
    • Conduct on-site visits to offices registered with broker dealer and investment adviser, conducting internal reviews in support of annual examination requirements.
    • Help staff and associated representatives develop a broader skill base and level of understanding of risks.
    • Conduct daily reviews of trades, paperwork, emails and correspondence.
    • Centralized compliance supervision of firm's registered representatives
    • Review accounts for suitability and proper management.
    • Identify and analyze risks through reviews, fieldwork and research.
    • Identify areas for control improvement and work with management to develop solutions.
    • Develop presentations for delivery within compliance as well as to representative and Senior Management.
    • Respond to special requests from Senior Management.
    • Participate in and provide control guidance to management initiatives.
    • Integrate/coordinate and conduct projects with other internal and external teams.
    • Develop a strong relationship with clients to help manage risks proactively. Successful Supervisory Principal candidates will have: Required
      • BA/BS in Accounting, Finance or related field of study
      • Minimum of five (5) years of brokerage and investment advisory compliance experience
      • Series 7, Series 24, and Series 66 (or equivalent, i.e. Series 63 & Series 65 ) licenses required
        • A qualified candidate maybe considered if he/she is willing to obtain Series 66 or 63 & 65 within 90 days of hire
        • Experience and knowledge of FINRA, SEC, state securities and firm specific rules and regulations
        • Familiarity with the knowledge of the securities industry, from a product, corporate governance, compliance and administrative perspective, including without limitation, knowledge of federal and state-level securities regulations
        • Strong presentation, written, and interpersonal communication skills
        • Ability to work on multiple tasks and manage team priorities and workload
        • In-depth knowledge of compliance practices, tools, techniques, concepts, and trends
        • Team player who works constructively with others to achieve team goals
        • Ability to work independently as well as collaboratively in a team environment
        • Ability to organize, prioritize, and work concurrently on multiple assignments to meet conflicting deadlines in a fast-paced work environment Preferred
          • Minimum of five (5) years of experience as a broker dealer supervisory principal Icing on the Cake
            • Familiarity with Black Diamond system
            • Familiarity with Raymond James system Powered by JazzHR


Keywords: Level Four Group, LLC, Dallas , Broker Dealer/Investment Adviser Supervisory Principal, Sales , Dallas, Texas

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