We are looking for a Supervisory Principal with Electronic Communication review experience for a large financial services client. The Supervisory Principal will have an understanding of the financial services industry; rules, regulations, and policies of the client and our various regulatory bodies; and excellent customer service skills. A successful candidate is consultative in working with their advisors. They should understand the structure and needs of the individual advisors and offices they support and drive any needed solutions to ensure appropriate risk mitigation tactics while delivering exceptional customer service. An ideal candidate would display exceptional customer service and relationship management skills and should exhibit strong acumen in organization, prioritization, efficiency, and risk-based analysis.

Responsibilities:

• Evaluate marketing materials and other forms of communication with the public to provide principal approval or provide guidance on changes that can lead to an approval.

• Review outside business activities and private securities transactions to ensure compliance with firm policy and state regulations.

• Consult with advisors on their marketing initiatives, outside business activities and possible private securities transactions.

• Research and address instances where the firm’s policies are not being followed.

• Assist with research and response to regulatory inquiries including branch exams.

• Contribute to department initiatives that may include policy updates and training.

• Other tasks and projects as assigned.

Requirements:

• Licensing Requirements: FINRA Series 7; 24 (OR 9 and 10), Series 66 (or 63)

• Bachelors degree in relevant discipline.

• 1+ years of experience with electronic communication review is required.

• 3+ years customer service, and/or relationship management experience in investment services.

  About TEKsystems:

We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.

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.