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Account Supervision Principal Jobs in Texas

Head Of Supervision Jobs
By Atria Wealth Solutions At Greater Houston, United States
Proved experience in change management, controls design, and strong people management skills.
Supervise a remote/hybrid team that
7+ years of relevant securities experience in Compliance or Supervision.
Strong verbal and written communication skills
Ability to manage time effectively
Duties And Responsibilities – What You Will Do
Regional Supervision Manager Jobs
By Advisor Group At , Leesburg, 20175, Va
Minimum 3 years of Supervision or Compliance experience
Excellent analytical and problem-solving skills.
Excellent written and oral communication skills, including the ability to diplomatically find solutions to assist financial professionals and internal business partners.
Regional Supervision Manager (Home Office Principal – Triad)
ALL Locations/Remote (Open to qualified candidates across U.S.)
Accept new accounts on behalf of the firm

Are you an experienced Account Supervision Principal looking for a new challenge? We are looking for a motivated and organized individual to join our team and help us manage our client accounts. You will be responsible for developing and maintaining relationships with clients, ensuring that their needs are met, and providing strategic guidance to ensure their success. If you have a passion for customer service and are looking to take your career to the next level, this is the job for you!

Overview:

Account Supervision Principals are responsible for overseeing the day-to-day operations of a financial institution’s accounts. They ensure that all accounts are managed in accordance with applicable laws and regulations, and that all customer transactions are properly documented and reported. Account Supervision Principals also provide guidance and support to account managers and other staff members.

Detailed Job Description:

Account Supervision Principals are responsible for overseeing the day-to-day operations of a financial institution’s accounts. They ensure that all accounts are managed in accordance with applicable laws and regulations, and that all customer transactions are properly documented and reported. Account Supervision Principals also provide guidance and support to account managers and other staff members. They review account activity and transactions to ensure accuracy and compliance with internal policies and procedures. Account Supervision Principals also monitor customer accounts for suspicious activity and take appropriate action when necessary. They may also be responsible for developing and implementing new policies and procedures to ensure compliance with applicable laws and regulations.

What is Account Supervision Principal Job Skills Required?

• Excellent communication and interpersonal skills
• Strong organizational and problem-solving skills
• Ability to work independently and as part of a team
• Knowledge of financial regulations and laws
• Knowledge of accounting principles and practices
• Proficiency in Microsoft Office applications
• Ability to analyze financial data

What is Account Supervision Principal Job Qualifications?

• Bachelor’s degree in accounting, finance, or a related field
• At least 5 years of experience in a financial institution
• Professional certification, such as Certified Public Accountant (CPA) or Certified Financial Planner (CFP)

What is Account Supervision Principal Job Knowledge?

• Knowledge of financial regulations and laws
• Knowledge of accounting principles and practices
• Knowledge of financial analysis and reporting
• Knowledge of customer service principles and practices

What is Account Supervision Principal Job Experience?

• At least 5 years of experience in a financial institution
• Experience in developing and implementing policies and procedures
• Experience in managing customer accounts
• Experience in analyzing financial data

What is Account Supervision Principal Job Responsibilities?

• Oversee the day-to-day operations of a financial institution’s accounts
• Ensure that all accounts are managed in accordance with applicable laws and regulations
• Review account activity and transactions to ensure accuracy and compliance with internal policies and procedures
• Monitor customer accounts for suspicious activity and take appropriate action when necessary
• Develop and implement new policies and procedures to ensure compliance with