We’re Hiring!

General Securities Supervision Principal CoastalOne

Wilmington, Delaware or San Diego, CA

This position reports to the Chief Supervision Officer. Responsibilities include, but are not necessarily limited to:

• Maintains ongoing positive relationship with financial professionals in collaboration with the Chief Supervision Officer and senior and fellow staff members.
• Engages in supervisory office visits and annual practice reviews as assigned.
• Monitor and perform advertising review
• Follow up on audit findings and actively addresses potential compliance issues to minimize risk to the client, branch and firm.
• Monitors, reports and enforces internal controls to ensure compliance with industry standards and the firm’s policies and procedures.
• Works with financial professionals to address concerns and to educate on supervisory processes.
• Assists in implementation of policy and procedures for the facilitation of first line supervision on new and existing initiatives.
• Identifies suspicious patterns of practice, conducts investigations and, based on findings and current guidelines, takes appropriate corrective action as needed in collaboration with the Chief Supervision Officer and Compliance.
• Development and training of new financial professionals and staff with regards to broker-dealer and RIA policies and procedures for compliance and supervision.
• Work in conjunction with IT to beta test and provide feedback on new technology used for the Supervision Department and first line supervisors.
• Coordinates and enforces heightened or special supervision of branch offices or financial professionals as needed.
• Maintain records and files as outlined in policies and procedures.
• Works on delegated and collaborative cross-functional projects.
• Research and support operational and business issues in support of financial advisers and firm staff as needed.
• Establish and maintain effective relationships with business partners and service providers.
• Performs other duties as required.

Travel required as dictated by above responsibilities.

Qualifications

• Bachelor’s degree required
• Minimum 3 years of relevant experience
• FINRA Series 24 and/or FINRA Series 79 preferred
• Excellent written and verbal communication skills
• Excellent teamwork and collaboration skills.
• Proficient with MS Office (Outlook, Word, Excel, PowerPoint)
• Exhibits integrity, professionalism, practical judgment, positive attitude at all times; exhibits perseverance, leadership, mental toughness and initiative in the face of problems and challenges; must be able to take direction and accept constructive criticism.

About Coastal

“Coastal” is a trade name for several affiliated financial services companies including, Coastal Equities, Inc. (“CEI”), a FINRA member broker-dealer; Coastal Investment Advisors, Inc. (“CIA”), an SEC registered investment adviser; and Coastal Risk Advisors, LLC (“CRA”), a property and casualty insurance agency. CEI is the oldest of the entities and was founded in 1989 in Massachusetts. Headquartered in Wilmington, Delaware, we support independent contractor registered representatives, IARs, and insurance agents, and the clients they serve.