CornerStone Staffing
Supervision Principal
CornerStone Staffing, Fort Worth, Texas, United States, 76102
Job DescriptionJob Description
CornerStone has partnered with a local financial services company in their search for a Supervision Principal well versed in a wide range of products; mutual products, fixed income and securities products. The company is a national firm that has grown exponentially over the past few years. The Supervision Principal will review all the advisors interaction; trades, recommendations to clients, suitability of the recommendation, correspondence and communications with clients, advertising, paperwork, etc.
Requirements of the Supervision and Surveillance Principal
At least 5 years of experience in financial services
Bachelor's Degree required in a related field
FINRA Series 24 license
(Registered Principal experience is preferred)
Extensive knowledge of compliance and regulatory requirements
Review of a client’s profile to include their risk tolerance, investment objectives, tax status and other facts and circumstances to determine suitability of a financial plan that could include insurance, annuities, managed products, mutual funds, fixed income, and other various securities products
Review new accounts
Monitor work queues at the beginning and intra-day
Provide field force support through training and education
Timely follow up on items pending approval (NIGO) to include financial plans, investment switches, new accounts or other in-force or new business
Monitor, review and resolve items for attention in NETX360
Daily monitoring of the Supervision inbox and respond
Highly focused on the quality of pre and post-sale reviews with an emphasis on following documented procedures
Escalate items to the Supervision and Surveillance manager
Educate advisors on unsuitable transactions/recommendations and assist in finding alternative solutions
Identify and recommend ideas for process and procedure improvement
Benefits of Supervision Principal
PTO (sick/vacation)
ESOP Contribution
2 Days Volunteer PTO
Tuition reimbursement
Covered Parking
Free financial planning
Free on-site fitness center with exercise classes. Discounted personal training and massage therapy is available
Free basic life, short and long term disability and an employee assistance program
Company contributions to a Health Savings Account for the high deductible medical plan
Medical concierge service paid by the company via COMPASS to assist in finding cost-effective medical services and dealing with billing discrepancies
Charitable services and volunteer opportunities
Year-over-year gold winner of the American Heart Association Fit Friendly company
Library privileges
Concierge services with daily lunch specials, vendor sales, discount movie tickets and a free DVD library
A career development program
In-house training courses ranging from leadership development to basic computer skills
Employee recognition programs and quarterly all-employee luncheons
Yearly family social events
If interested, send your resume to Allison Harrison at allisonh@cornerstonestaffing.com and call 817-635-0500X162 for immediate consideration
Company Description
CornerStone Staffing has been servicing the Dallas-Fort Worth metroplex since 1991. We are committed to supporting our community through our core values of compassion, integrity, self discipline, and faith.
CornerStone currently has 11 offices across the Metroplex to serve your needs. If you are a job seeker looking for short-term supplemental income or a full-time position that will launch a new career, we can assist you in finding the right opportunity!
Company DescriptionCornerStone Staffing has been servicing the Dallas-Fort Worth metroplex since 1991. We are committed to supporting our community through our core values of compassion, integrity, self discipline, and faith.\r\n\r\nCornerStone currently has 11 offices across the Metroplex to serve your needs. If you are a job seeker looking for short-term supplemental income or a full-time position that will launch a new career, we can assist you in finding the right opportunity!
CornerStone has partnered with a local financial services company in their search for a Supervision Principal well versed in a wide range of products; mutual products, fixed income and securities products. The company is a national firm that has grown exponentially over the past few years. The Supervision Principal will review all the advisors interaction; trades, recommendations to clients, suitability of the recommendation, correspondence and communications with clients, advertising, paperwork, etc.
Requirements of the Supervision and Surveillance Principal
At least 5 years of experience in financial services
Bachelor's Degree required in a related field
FINRA Series 24 license
(Registered Principal experience is preferred)
Extensive knowledge of compliance and regulatory requirements
Review of a client’s profile to include their risk tolerance, investment objectives, tax status and other facts and circumstances to determine suitability of a financial plan that could include insurance, annuities, managed products, mutual funds, fixed income, and other various securities products
Review new accounts
Monitor work queues at the beginning and intra-day
Provide field force support through training and education
Timely follow up on items pending approval (NIGO) to include financial plans, investment switches, new accounts or other in-force or new business
Monitor, review and resolve items for attention in NETX360
Daily monitoring of the Supervision inbox and respond
Highly focused on the quality of pre and post-sale reviews with an emphasis on following documented procedures
Escalate items to the Supervision and Surveillance manager
Educate advisors on unsuitable transactions/recommendations and assist in finding alternative solutions
Identify and recommend ideas for process and procedure improvement
Benefits of Supervision Principal
PTO (sick/vacation)
ESOP Contribution
2 Days Volunteer PTO
Tuition reimbursement
Covered Parking
Free financial planning
Free on-site fitness center with exercise classes. Discounted personal training and massage therapy is available
Free basic life, short and long term disability and an employee assistance program
Company contributions to a Health Savings Account for the high deductible medical plan
Medical concierge service paid by the company via COMPASS to assist in finding cost-effective medical services and dealing with billing discrepancies
Charitable services and volunteer opportunities
Year-over-year gold winner of the American Heart Association Fit Friendly company
Library privileges
Concierge services with daily lunch specials, vendor sales, discount movie tickets and a free DVD library
A career development program
In-house training courses ranging from leadership development to basic computer skills
Employee recognition programs and quarterly all-employee luncheons
Yearly family social events
If interested, send your resume to Allison Harrison at allisonh@cornerstonestaffing.com and call 817-635-0500X162 for immediate consideration
Company Description
CornerStone Staffing has been servicing the Dallas-Fort Worth metroplex since 1991. We are committed to supporting our community through our core values of compassion, integrity, self discipline, and faith.
CornerStone currently has 11 offices across the Metroplex to serve your needs. If you are a job seeker looking for short-term supplemental income or a full-time position that will launch a new career, we can assist you in finding the right opportunity!
Company DescriptionCornerStone Staffing has been servicing the Dallas-Fort Worth metroplex since 1991. We are committed to supporting our community through our core values of compassion, integrity, self discipline, and faith.\r\n\r\nCornerStone currently has 11 offices across the Metroplex to serve your needs. If you are a job seeker looking for short-term supplemental income or a full-time position that will launch a new career, we can assist you in finding the right opportunity!