Responsibilities

The Principal Review Supervisor will supervise assigned representatives by reviewing and approving account activities, including new accounts and subsequent transactions. They will conduct customer account reviews to detect potential sales abuses, discuss compliance concerns, and work with the Compliance Department to address regulatory concerns. This role involves providing education and training to representatives on regulatory requirements, and assisting with the processing of daily transactions while adhering to established suitability guidelines and time frames. The position also requires Principal review and approval of various transaction types, including mutual funds, annuities, and financial planning services, along with other duties as assigned.