Georgia Employer REGIONAL COMPLIANCE DIRECTOR (REMOTE OPTIONS AVAIL in Atlanta, Georgia
Regional Compliance Director (Remote Options Available) - #223237Job Area:Compliance/LegalBusiness Area:Principal SecuritiesLocation:FL - Tampa, GA - Atlanta, IL - Chicago, IN - Indianapolis, NC - Raleigh, OH - Cincinnati, OH - Cleveland, OH - Columbus, PA - Philadelphia, WI - Madison, WI - MilwaukeeCareer Category:Experienced ProfessionalFull/Part Time:Full-TimeRegular/Temporary:RegularDate Posted:08/08/2019What you'll do:Principal Financial Group is seeking a Regional Compliance Director to join our team!In this position, you will provide oversight ofSupervising Registered Representatives and members of the company's various distribution systems within the region, covered by the Office of Supervisory Jurisdiction (OSJ) to which the Regional Compliance Director is assigned, to ensure proper supervision and compliance with applicable laws, regulations and company ethical standards. As a Regional Compliance Director, you'll conduct branch exams within your assigned territory. You'll also provide training to Supervising Registered Representatives (SRRs), Registered Representatives (RRs), and Field Supervisors on compliance related topics. Position requires extensive travel (at least 50% of the time).Additional responsibilities will include:Conduct and document specific training as required for new SRRs, RRs, Investment Advisor Representatives (IARs) and Office Managers.Conduct annual supervisory oversight audits of offices housing Supervising Registered Representatives, as well as OSJ audits and special Business Conduct audits.Document, report and provide feedback to first and second tier SRRs, Compliance and others as needed.Conduct appropriate securities and insurance-related compliance training through Continuing Education and face-to-face compliance meetings to members of the company's distribution systems to ensure understanding of state and federal laws and regulations, as well as company policies and procedures.Conduct or oversee completion of audits of Registered Representatives and non-registered Career Agents. Monitor findings to ensure any variations from operational standards are detected and corrected in a timely manner.Investigate, document and help resolve concerns related to audit findings, exception reporting, regulatory exams and inquiries.Perform other job-related duties or special projects as required.Prepare and submit periodic budgets.Manage travel and schedule to ensure annual completion of all required office audits, CE meetings and desk audit goals within defined budget.What you'll get from us:Competitive pay, benefits, perks and more. We'll reward you for the skills and experience you have.Respect for your unique perspective. Diversity, inclusion and empowerment are at the core of our culture.A career, not just a job. Principal is a place where you can learn and innovate. Do important work. Make an impact. And achieve your professional goals.The ability to have a great job and a great life. Sure, work is important. But so is your family. And your friends. And your community. That's why we provide the flexibility needed to find the right balance between your job and the rest of your life.Qualifications:So, what do we need from you?Successful candidates will have the following:Bachelor's degree or equivalent, and 6+ years relevant experience required... For full info follow application link.The Principal is an Affirmative Action and Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to age, race, color, religion, sex, gender identity, gender expression, pregnancy, national origin, citizenship status, disability, genetic characteristics, sexual orientation, marital status, domestic partner status, military status, protected veteran status, disability status or any other characteristic protected by law.