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Penn Mutual · 2 weeks ago

Senior Regional Supervision Principal

United States

Full-time

Remote

Senior Level, Lead/Staff

$105K/yr - $120K/yr

5+ years exp

Penn Mutual has been empowering individuals, families, and businesses for over 175 years. The Senior Regional Supervising Principal plays a critical role in overseeing the sales practices of approximately 250 Financial Professionals, addressing regulatory requirements and managing complex business-related requests.

Financial ServicesInsurance

Responsibilities

Serve as the primary supervisory contact for assigned Financial Professionals

Lead disciplinary issue resolution and policy reinforcement training

Review and assess outside business activities and private securities transactions

Conduct annual in-person office visits to support proactive risk mitigation

Review and approve securities-related correspondence, electronic communications, and social media

Support documentation and closure of trend reports in real time

Collaborate on supervisory oversight design for complex business requests

Assist in meetings and investigations as needed

Provide training on company policies, trading operations, and regulatory requirements

Perform other related duties as assigned

Ability to travel as needed

Qualification

FINRA Series 7FINRA Series 24Securities regulationsRisk assessmentLeadershipCustomer serviceProcess improvementExcel proficiencyWord proficiencyPowerPoint proficiencyCommunication skillsRelationship buildingConflict resolutionOrganizational skillsStrategic thinking