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Senior Principal Regional Supervisor

Infinity Financial Services
Oakland, CA, United States

Permanent, Full time

Competitive

Our Senior Regional Supervisory Principal, Home Office Supervision (SRSP) is the first line supervisor for Home Office Supervisor (HOS) financial professionals (FPs) and office of supervisory jurisdiction (OSJ) managers in their designated region. The SRSP will work closely with their FPs and OSJs to educate, guide, and assist them with their compliance responsibilities. The SRSP will assist in helping to build compliant business partnerships with Infinity Financial Services (IFS).  The SRSP will be responsible for ensuring that FPs meet the standards and requirements of supervision set forth by the regulators and the Firm.

Responsibilities:

  • Supervises FPs and OSJ Managers as part of a supervisory team.

  • Guides and supports all HOS FPs, OSJ Managers, and staff in collaboration with the Regional Territory Manager (RTM).  

  • Ensures FPs and OSJ understand and are compliant with all firm and industry requirements by proactively communicating policies and procedures.

  • Assists with regulatory exams and requests, as well as with internal investigations and reviews relative to supervised FPs and OSJs.

  • Engages in regular supervisory office visits (SOVs) with assigned HOS FPs and OSJ Managers to promote company supervisory practices, follow up on audit findings, and proactively address potential compliance issues, to minimize risk to clients, the OSJ and the firm.

  • Identifies suspicious patterns in sales and business practices. Conducts investigations and takes appropriate corrective actions, in collaboration with the RTM and other internal business units.

  • Provides appropriate training to support FP needs.

  • Actively monitors the supervisory systems for the FPs and OSJs and assists in the resolution of transaction review and other issues.

  • Collaborates closely with the Chief Compliance Officer, where needed, to solve problems.

Qualifications:

  • Undergraduate degree in finance, accounting, business, or related discipline

  • 7+ years industry experience

  • FINRA Series 7, 9 and 10 (or Series 24); Series 4 & 53 required or must pass within 120 days of employment (for candidates with S24). Series 66 (or S63 and S65) preferred.

  • Experience with Microsoft Excel, Word, Access, PowerPoint, SharePoint, and Visio.  

Other Requirements:

  • Strong knowledge of general securities, mutual funds, and other financial products.

  • 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.

  • Ability to work effectively in a fast-paced/high volume environment and to be flexible with work schedule.

  • Excellent oral and written communication skills.

  • Ability to make regulatory and supervisory-based decisions and to support home office staff in their role as Branch Office Manager.

About Infinity Financial Services:

Infinity Financial Services is a national, independent Investment and Wealth Management firm, founded with a vision: help enterprising financial professionals to grow truly independent, successful practices, leveraging leading-edge technologies and firm support.      

Based in Oakland, California, with branch offices around the U.S., Infinity's financial professionals offer an array of asset management, brokerage, insurance, financial planning, benefit plan, insurance, and risk management services. 

Infinity continues to grow because of our commitment to our financial professionals and investors. Financial professionals who join Infinity enjoy an open architecture work environment focused on individual responsibility, not overbearing scrutiny. We guide and collaborate with our professionals, providing the peer-to-peer support they need to succeed. We are large enough to provide a powerful, flexible virtual office technology platform, and small enough to support a personalized growth experience for each person and team.

If you join Infinity, you will discover a culture that fosters continuous improvement to everything we do and a passion for innovation and creativity. We offer competitive compensation and an attractive benefits program.  Please upload your resume and cover letter to apply to this position. Principals only. EOE.

Interviews:

Infinity Financial Services (IFS) will only communicate with a job application directly from an @8financial.com email address. Due to Covid-19 and social distancing, we may conduct interviews online. IFS will not request any form of payment during the interview process. Should you have any questions regarding the application process please contact IFS Human Resources at (888) 888-5321.

(888) 888-5321

Copyright © 2020 Infinity Financial Services. All Rights Reserved.

INFINITY FINANCIAL SERVICES

212 9th Street, Suite 202

Oakland, CA 94607

(888) 888-5321

(510) 588-8000

info@infinitysecurities.com

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Infinity Financial Services and Infinity Financial Services Advisory are two separate companies.  Infinity Financial Services is a member of the Financial Industry Regulatory Authority (FINRA®) and the Securities Investor Protection Corporation (SIPC). Infinity Financial Services Advisory is registered with the U.S. Securities and Exchange Commission (SEC).  Infinity Financial Services and Infinity Financial Services Advisory do not conduct investment advisory or securities business in states that are not currently registered. For a list of current state registrations, call 888-888-5321.