Supervisory Principal Resume Sample
Ethyl Roob
52471 Dovie Ville,
Houston,
TX
+1 (555) 898 3744
Work Experience
Supervisory Principal
02/2017
-
PRESENT
New York, NY
- Review and approval of correspondence, investment presentations, and email surveillance
- Manage and help resolve all sales practice, non-sales practice, service and operational complaints
- Trade blotter review
- Manage the new hire and termination process
- Review and affirm monthly listing of representatives under supervision
- Review brokerage accounts and business affiliations
- Manage, review, and approve the all investment activity including traditional equity, fixed income and option trades. alternative investments, managed account turnover, and exchange trades futures and options on futures
Senior Supervisory Principal
11/2011
-
01/2017
Chicago, IL
- Conduct annual reviews of representatives
- Monitoring continuing education and licensing requirements for the Registered Representatives
- Maintaining all OSJ files
- Assist during office audits
- Act as key contact for internal departments, such as Operations, New Accounts, Service Center and various departments across Governance, Risk, and Compliance (GRC)
- Assist with regulatory exams and requests as well as assist with the maintenance of the department’s written supervisory procedures
- Represent the IAS Supervision Department as an integral and primary resource for Senior Management, peers and advisors
- Act as key contact for internal departments, such as Operations, Service Center, Legal and various departments across Governance, Risk, and Compliance (GRC)
Cifs Senior Supervisory Principal
02/2005
-
05/2011
Boston, MA
- Review and approval of transactions for suitability and documentation in 529 plans, municipal bonds, variable annuities and client email
- Act as key contact and subject matter expert for HOS Supervisors, and assist in any program/client issues in regards to 529 plans, municipal bonds, variable annuities or client email
- Act as key contact and subject matter expert for Financial Advisors, OSJ Supervisors, & Home Office Supervisors, and assist in any program/client issues in regards to variable annuities
- Review annuities and life insurance for completeness and suitability
- Performing daily and periodic supervision of trading in Alternative Investments, Structured Products and Leveraged/Inverse Exchange Traded Products. Also, providing secondary oversight of supervision conducted by field OSJ’s in these areas
- Serve as a subject matter expert for Advisors, OSJ’s, peers and other members of GRC in the area of complex products
- Provide expert insight into the complex workings of AI’s, SP’s and ETP’s
- Licenses/Certifications: Series 7, 66 (or 63 and 65), 24, 53, 4; or 7, 9/10, 63/65 (or 66) required
- Review and approval of transactions for suitability and documentation of variable and fixed indexed annuities
Education
Grand Valley State University
2000 - 2004
Bachelor's Degree in Finance
Professional Skills
- Strong inter-personal skills, including stakeholder and conflict management
- Excellent management and human relations skills
- Knowledge of state and federal securities laws, practices, and regulations in addition to strong analytical, communications and technical skills is required
- Effective verbal and written communicator with good report writing and presentational skills
- Relevant 3-5 years of experience in financial industry; compliance and international business experience helpful, but not required
- Relevant 3-5 years of experience in financial industry; compliance experience helpful, but not required
- Strong understanding of UK FCA Conduct of Business (COB) rules; as well as understanding of EU Regulations
How to write Supervisory Principal Resume
Supervisory Principal role is responsible for securities, insurance, reporting, trading, training, finance, retail, travel, health, communications.
To write great resume for supervisory principal job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Supervisory Principal Resume
The section contact information is important in your supervisory principal resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your Supervisory Principal Resume
The section work experience is an essential part of your supervisory principal resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous supervisory principal responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular supervisory principal position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Supervisory Principal resume experience can include:
- Strong understanding of Code of Conduct of Business as well as understanding of relevant Regulations
- Ability integrating and balancing diverse priorities
- Strong understanding of complex products, i.e. Alternative Investments or Variable Annuities
- Strong understanding of complex products (i.e. annuities or alternative investments)
- Own CPII Supervisory Tools (Blotter, Reports, Country MIS, Email and Call Monitoring) and ensure their effective use
- Offshore brokerage / banking experience highly desirable
Education on a Supervisory Principal Resume
Make sure to make education a priority on your supervisory principal resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your supervisory principal experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in Supervisory Principal Resume
When listing skills on your supervisory principal resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical supervisory principal skills:
- Strong analytical problem solving skills and detailed oriented
- Technical know-how, commercial awareness and analytical skills coupled with an understanding of risk/reward dynamics
- (As applicable, depending on market coverage) – foreign language skills required Cantonese & Mandarin
- Computer skills, including knowledge of Microsoft Word, Excel and Power Point
- Solid work ethic and proven professionalism and a positive attitude
- Compliance experience, and 10+ years industry experience
List of Typical Experience For a Supervisory Principal Resume
1
Experience For Senior Supervisory Principal Resume
- Compliance experience, compliance supervisory experience ideal
- Relevant 5-7 years of experience in securities supervision; compliance experience helpful, but not required
- Related industry experience in a compliance or supervisory capacity
- Industry experience, preferably in a compliance supervisory capacity
2
Experience For Cpwm Senior Supervisory Principal Resume
- Strong understanding of complex products (i.e. alternative investments)
- Strong understanding of complex products (i.e. annuities)
- Presenting findings and preparing materials for regular Governance and Control Forums
- Leading investigations of questionable sales activity and work with Senior Analyst or Manager on resolution
- Be able to perform other supervisory functions including staff on boarding, staff outside activities, training, complaints, and cross border activities, etc
- Assist Compliance and Business Integrity in all matters regarding routine monitoring process as well as developing CAPS for any issues identified
- Ensure training is up-to-date including regulatory and firm element continuing- eduction
- Review and approve incoming and outgoing correspondence including electronic communications
3
Experience For Cifs Senior Supervisory Principal Resume
- Provide awareness across all BRM departments of any investigations, escalations, or emerging risks involving advisors and OSJs
- Verify information provided on transaction review forms by contacting the insurance companies, Financial Advisor or by referencing product material
- Identifies and executes training based on advisor needs and opportunities
- Acts as a conduit of information between the Home Office and the field to assist with problem solving
- Provide assistance to regulatory agencies and the internal audit department during audits
- Assist Compliance, as needed, with the investigation and resolution of customer complaints involving sales practices, and operational and administrative issue
- Ensure timely and appropriate escalation of issues and maintain relevant metrics for reporting purposes
- Train or coordinate training of staff (supervisory principals and non supervisory personnel) in all new or updated Supervision procedures
- Participate in the process of account opening to ensure compliance with CIFS Policies and Procedures and with FINRA requirements
4
Experience For Supervisory Principal Capital Markets Resume
- Review and approve marketing material that is distributed through the broker dealer channel
- Series 7, 66 (or 63 and 65), 24 (or 9 and 10), 4 and 53 required
- Suitability review and approval of transactions in certain product specific areas such as variable annuities, alternative investments, structured products, exchange traded products and others as needed
- Leading investigations of questionable sales activity and work with a Senior Analyst or Manager on resolution
- Routinely interacts within a team environment to identify potential sales practice concerns, initiate escalations, and consult on problematic clients or branches
5
Experience For IPB Supervisory Principal Resume
- Series 7, 66 (or 63 and 65), 24 (or 9 and 10) required, or ability to obtain within 90 days
- Knowledge of FINRA SEC, and State rules and regulations required
- Review transactions for suitability and documentation of Alternative Investments, Structured Products, and Non-Traditional Exchange Traded Products
- Act as key contact and subject matter expert for Financial Advisors, OSJ Supervisors, & Home Office Supervisors, and assist in any program/client issues in regards to Alternative Investments, Structured Products, and Non-Traditional Exchange Traded Products
- Assist with team management activities such as acting as a point of escalation, performing QC reviews, assisting with team meetings and training opportunities, and managing backlog reports
- Periodically create or review training materials for the firm
- Series 7, 66 (or 63 and 65), 9 and 10 (or Series 24) required
6
Experience For Capital Markets Supervisory Principal Resume
- Familiarity with Alternative Investments, Structured Products, and ETPs
- Suitability review and approval of transactions in certain product specific areas such as alternative investments, structured products, exchange traded products and others as needed
- Review and approval of account documentation
- Suitability review of securities transaction via the trade blotter
- Review brokerage alerts via the OSJ Review Tool
- Review of advisory account alerts
- Review and approval of broker dealer transactions
7
Experience For Supervisory Principal, Complex Products Resume
- Review of securities transactions on the electronic trade blotter including but not limited to equities, fixed income, mutual funds, UITs, municipal securities, and 529 transactions
- Review of account-level suitability alerts for brokerage and advisory accounts using LPL’s electronic supervisory tool suite
- Review and approval of account documentation and correspondence
- Analysis of transaction activity and identification of potential sales practice concerns
- Collaboration with Regional Supervisory Principals and other business partners to escalate and resolve sales practice concerns
- Work within a team environment to identify potential sales practice concerns
- Provide consultative support to clients
- Make regulatory and supervisory-based decisions
8
Experience For Junior Supervisory Principal Resume
- Proactive collaboration and service-based responses with business partners on escalated issues
- First line supervisory responsibility for assigned advisors and OSJ Managers as part of a supervisory team
- Maintains ongoing positive relationship as a first line Supervisor, guide and resource to all HOS advisors and OSJ Managers and support staff in collaboration with the Regional Territory Manager (RTM) and Business Consulting
- Ensures advisor and OSJ understanding and compliance with all firm and industry requirements by proactively communicating the firm’s policies and procedures
- Engages in regular supervisory office visits (SOV’s) with assigned HOS advisors and OSJ Managers in order to promote company supervisory practices, follow up on audit findings and proactively addressing potential compliance issues to minimize risk to the client, the OSJ and the firm
- Identifies suspicious patterns in sales and business practice. Conducts investigations and takes appropriate corrective action as needed in collaboration with the RTM and other internal business units
- Assist with regulatory exams and requests as well as assist with other internal investigations and reviews relative to supervised advisors and OSJs
9
Experience For Cpb-supervisory Principal Resume
- Develop, implement and modify, as needed, sales practice and programs for the broker dealer
- Communicate important compliance, sales practices and legal issues to senior management
- Facilitate the execution of transactions that require Compliance and/or Legal intervention
- Advise the sales force, senior management, operational and support staff of changes related to the industry's rules and regulations
- Review life insurance and annuity transactions, including Replacement and NY State Regulation 60 transactions for completeness of forms, documentation of disclosures to clients, compliance with Firm policies, procedures and processes
10
Experience For Ipb-supervisory Principal Resume
- Evaluate proposed transaction and determine appropriateness of proposed transaction, including an analysis of any proposed exchange/replacement transaction
- Evaluate proposed transactions with Financial Advisors and sales/supervisory management and advise them accordingly on appropriateness of proposed investment strategy for the client
- Maintain accurate records and reporting of cases reviewed and their disposition
- Act as a point of contact and help provide guidance and information to help solve minor day-to-day questions and issues
- Participate in special projects, as requested by Management
- Perform a daily review of complex transactions to ensure the transaction meets client suitability standards set forth in the Retail Distribution of Investment Products Policy and meets regulatory requirements
- Assist in the review and approval outside activities, directorships and business interests
List of Typical Skills For a Supervisory Principal Resume
1
Skills For Senior Supervisory Principal Resume
- Experience in a similar role , with 8+ years of experience in the financial services industry
- Experience in Private Banking, Asset Management, Capital Markets
- Able to approach unfamiliar situations with reference to good control practices
- Strong knowledge of FINRA SEC, and State rules and regulations
- Experience in either a registered Investment or broker dealer environment
- Experience in either a branch or broker dealer environment
- Industry experience
2
Skills For Cpwm Senior Supervisory Principal Resume
- Industry experience in a compliance related function
- Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, SharePoint, and Visio
- Direct supervision experience
- Related industry experience
- BA/BS or equivalent industry experience
3
Skills For Cifs Senior Supervisory Principal Resume
- Progressive levels or experience and job responsibilities
- Working knowledge of Investment Products including Options, FX, Structured Products & OTC Derivatives
- Ensure training is up-to-date including regulatory and firm element continuing ed
- Backup Supervisory responsibilities across the CPB Broker Dealer in the Americas including
- Responsible for maintaining an awareness of relevant investment products and services, communications rules and regulations, as well as Firm processes and procedures
- Responsible for conducting a principal review of external product marketing materials, including Third Party brochures, presentations, fact cards and other designated materials as assigned
- Understanding and a background in advisory account management, reconcilement and controls
4
Skills For Supervisory Principal Capital Markets Resume
- Understanding and a background in broker-dealer operational processes, administration and controls
- Responsible for maintaining records of approvals as required by regulators and in accordance with Firm policy
- Review and approve marketing material that is distributed through Private Placement sales as well as registered Structured Products
- Manage other operational functions utilizing ops staff (such as, third party discretion, POAs, trade corrections, journals and transfers, etc)
- Correspondence, marketing material and sales literature review
- Review investment related incoming correspondence
5
Skills For IPB Supervisory Principal Resume
- Review investment related outgoing correspondence
- Review e-mail post mailing, through a surveillance system
- CAN ALSO BE FILLED IN DALLAS
- Understanding and a background in restricted and control stock transactions including sales under Rule 144 / 145; 10B-5-1 programs, and proactive legend removal
- Ensure that communication to client/prospect falls within FINRA guidelines
- Review and approve new accounts with a focus on the CPB advisory program
- Review and approve third party fed fund wires
6
Skills For Capital Markets Supervisory Principal Resume
- Review all sales presentations, investment management performance reviews, financial plans, manually created summaries, etc
- Coordinate Compliance, Legal and when appropriate FINRA reviews on newly created sales literature material
- Review and approve new account documents
- Knowledge of FINRA and SEC Rules and Regulations and all investment products
- Work in a team based environment and the ability to work in a pressure filled environment
- Sift through complexity, identify potential areas of risk and set forth issues clearly
7
Skills For Supervisory Principal, Complex Products Resume
- Drive and determination - high energy level, but dispassionate and independent
- Licenses Required: Series 7, Series 65/63 or 66, Series 9/10 and 24
- FINRA Series 24, 7 and 66 Licenses
- FINRA Series 9/10, 7, 66 (63/65) Licenses (Series 24 within 60 days of hire)
- Knowledge of mutual funds, annuities, UITs, structured products, alternative investments, general securities, and other financial products required
- Series 7, 9 and 10 (or Series 24) required
- Series 7, 24, 4, 53 or 9/10 required (or ability to obtain within 90 days)
8
Skills For Junior Supervisory Principal Resume
- Series 7, 63 or 66, 24, 53, 4 or 9/10 required (or ability to obtain within 90 days)
- FINRA Series 7, 24, 9, 10 Licenses (Series 31, 66 within 90 days of hire)
- Series 7 license; and
- Series 63 and Series 65 or Series 66; and
- Series 9 and Series 10 or Series 24 and Series 4 and Series 53
- Series 7, 9/10, 24, 31, 63 & 65 (or 66)
- Regional Supervisory Principal ideally would be based out of the Spokane, WA area or Idaho
- FINRA Series 4, 9/10, 7, 66 (63/65), Licenses (ability to take the Series 3 within 120 days of hire)
9
Skills For Cpb-supervisory Principal Resume
- FINRA Series 24, 7, 66 (63/65), 31. Preferably 9/10
- Knowledge of Bank and broker-dealer business, regulatory requirements and related policy
- Review all new and existing BMO Harris Financial Advisors business for missing and/or inaccurate information or documentation to determine if purchases are consistent with the firm’s guidelines and registration requirements
- Knowledge and expertise in investment product, with particular expertise in insurance and annuities (both domestic and offshore)
- Knowledge of corporate governance including regulated practices. Applies and complies with applicable internal and external policies. Demonstrates strong ethics
- Organized and process oriented, with an ability to multi-task, work under pressure, prioritize work and meet deadlines
10
Skills For Ipb-supervisory Principal Resume
- Monitoring and approval of Investment Objective Setting (‘IOS’) forms for client accounts
- Performing regular account documentation/suitability reviews including cross border aspects (e.g., Offshore Wealth Services [OWS])
- Managing and helping resolve all sales practice/investment related complaints
- Ensure training is up-to-date including regulatory and firm element continuing- education
- Identify issues and trends, evaluate alternatives and recommend comprehensive and innovative solutions to complex problems
- Monitoring and oversight of account level risk versus Investment Objectives, Risk Tolerance and other suitability information through execution of the Daily Risk Management Review (‘DRMR’) process
- Conducting periodic reviews of Representatives, including but not limited to Training and Competency assessments
- Lead and support key projects to (1) enhance controls and respond to new regulations and/or Citi Policies, and (2) implement process enhancements, management and oversight of new or arising issues
- Experience (in a similar role)
List of Typical Responsibilities For a Supervisory Principal Resume
1
Responsibilities For Senior Supervisory Principal Resume
- Other Central Review Unit responsibilities as determined by management
- Manage surveillance inquiries within policy stated guidelines
- Manage email surveillance for members of the OSJ
- Review and approve outside activities, directorships and business interests
- Manage surveillance of employee’s personal brokerage activity for violations of internal or regulatory policy
2
Responsibilities For Cpwm Senior Supervisory Principal Resume
- Manage and assist in the resolution of all complaints (written or oral) within the FINRA and policy guidelines
- Assist on ad-hoc projects as assigned by Management
- CIFS Supervisory Principals review all prior day trading activity using the Actimize Electronic Trade Blotter and document their review by "signing off" the trade blotter. Issues found and actions taken are documented within Actimize
- The Supervisory Principal analyzes solicited transactions to make sure that they are consistent with the Suitability Guidelines, that they can be recommended under the CIFS Solicitation Policy and that they do not carry sales practices issues. Also review unsolicited transactions to determine if there is any possible issue
- Review and document Actimize automatic alerts in a timely manner and open a manual alert whenever a transaction requires further investigation
- Act as the Senior Administrative Principal’s backup for Customer Complaints among other tasks
3
Responsibilities For Cifs Senior Supervisory Principal Resume
- Daily Blotter Review & Other Supervisory Reviews
- Maintenance and retention of all relevant files within the functional requirements of the role
- Execute on projects and initiatives within agreed timeframes
- Supervision and Primary oversight of Supervisory Principal functions for the Miami Financial Center and coordinate their functions with Sales Leaders
- Provide guidance in day to day regulatory and risk management matters to both CPII bankers and CPII management
- Supervision and Primary oversight of Supervisory Principal functions for the New York Financial Center and San Francisco OSJ and coordinate their functions with Sales Leaders
- Train or coordinate training of staff (supervisory principals and non-supervisory personnel) in all new or updated Supervision procedures
4
Responsibilities For Supervisory Principal Capital Markets Resume
- Supervision and Primary oversight of Supervisory Principal functions for the Miami OSJ and coordinate their functions with Sales Leaders
- Supervision and Primary oversight of Supervisory Principal functions for the Miami and Houston OSJ and coordinate their functions with Sales Leaders
- Review Non-Electronic Correspondence
- Can also be filled in Birmingham, AL
- FINRA Series 7, 9, 10, 66 (63/65),
- Can also be filled in Dallas, TX.
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