What are the responsibilities and job description for the Supervisory Principal position at Diversify?
About Us
Diversify Advisor Network is the future of wealth management. Founded by seasoned advisors and industry leaders, Diversify has developed institutional-grade resources, complemented by the personal attention and support that defines a true partnership.
We strive to cultivate a family-like culture, an institutional platform and an immersive experience that enables advisors and wealth management firms to differentiate themselves, retain their entrepreneurial autonomy, and, most importantly, protect and serve clients effectively.
Learn more about us at https://joindiversify.com.
About the Position
This position plays a pivotal role on our compliance team, and we are looking for a qualified individual with supervision experience in a Broker-Dealer and Investment Advisory firm. This is a fast-paced role that requires absolute attention to detail and critical thinking skills to evaluate and resolve complex issues. This position offers significant opportunities for career development and growth within the company. This is a full-time, in-office role located in our headquarters in Sandy, Utah. Your Impact:
- You are a solution-oriented professional who builds strong relationships with our branches
- An exceptional communicator who seeks acceptable outcomes even in challenging situations.
- A self-starter who thrives in a fast-paced environment.
- Someone with a deep understanding of supervision in a broker-dealer and investment advisor context.
- A continuous improver who looks for ways to enhance processes.
- You have a deep understanding of how successful advisors operate and are committed to partnering with them to support and drive their business growth.
- You have prior experience in supervisory responsibilities, including advertising and email review, portfolio management oversight, transaction and suitability monitoring, and Code of Ethics compliance.
- You can conduct daily reviews of trades and exception reports for potential regulatory or policy violations.
Who You Are
- Must have 5 years of Compliance or Supervision experience in a broker-dealer (BD) or a registered investment adviser (RIA)
- Comprehensive knowledge of alternative investments
- Experience with an independent wealth management platform is a plus
Your Toolkit
- Exceptional organization and communication skills
- Superior problem-solving skills and ability to convey confidence in your work
- Strong understanding of products and services offered at a broker-dealer
- Strong understanding of the various types of advisory services offered by a registered investment adviser
- FINRA Series 7, 63, 65 (or equivalent)
- Series 24 license highly preferred
Benefits
- Core Benefits - Medical with HSA and FSA options, dental, and vision.
- Preparing for Your Future - 401(k) with a generous company match, access to a personal financial planner, and unique investment options.
- Great Team Culture - Team members consistently rave about having great colleagues.
- Time Off - We value family, giving back, making a positive impact in society, and creating time to enjoy life. You will enjoy 4 weeks paid time off, 12 paid holidays, and 2 days for giving back.
Join Us Now!
If you are ready to fast-track your career, make meaningful connections, and embark on a thrilling journey, apply now! We demonstrate and act with complete and unconditional honesty and adhering to principles of sound ethics. After accepting an offer of employment, all candidates will go through a pre-employment background check, credit check, and pre-employment drug screen. Diversify Advisor Network is An Equal Opportunity Employer--M/F/D/V
