What are the responsibilities and job description for the Investment Supervisory Principal position at Stratos Wealth Partners?

Stratos Wealth Partners (SWP) is seeking a highly accountable individual to support the supervision and compliance initiatives of the firm. SWP provides a platform of Broker-Dealer and RIA services for our registered representatives / advisors. We are looking for an experienced individual to focus on the daily supervision tasks associated with brokerage and RIA transactions, reporting to the OSJ Supervisor. We are a growing department that offers room to develop and advance your skills.

Essential Duties and Responsibilities :

Conduct daily supervisory reviews and approvals. Includes, but not limited to :

Trade Blotter

Investment Product Switches

Front Running oversight

Alternative Investments

Annuities

Option Accounts

Email surveillance

Incoming Compliance Inquiries

Participation in branch exams

Coordinate supervisory review requirements and escalations with LPL Financial

Additional projects as assigned

Skills / Key Competencies Required :

Bachelor's degree

FINRA SIE, Series 7, 24 and 65 / 66 required; Series 53 and 4 a plus

Familiarity with Orion and Salesforce a plus

Attention to Detail / Data Organization

Proficient with technology

Strong communication skills, written and verbal

Ability to work in a fast-paced, changing environment

Collaborative mentality; strong team orientation

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