Description
We are seeking a Registered Principal to join our Business Supervisory Office team in Jacksonville, FL. As a Registered Principal, you will be responsible for reviewing and approving advertisements, marketing materials, sales literature, and other types of correspondence created and utilized by the Private Bank.
You will supervise content from a broker/dealer and a bank, therefore familiarity with regulatory rules associated with 'Communications with the Public' is required. You will act as a FINRA Series 24 Registered Principal to review and approve retail and institutional communications, correspondence, advertising, sales literature, website content, presentations, emails, educational materials, and other marketing communications.
Your responsibilities will include:
- Review and approval of communications with the public
- Review, approval, and maintenance of relevant Policies and Procedures
- Knowledge of financial regulations including Securities and Exchange Commission, FINRA, and The Federal Reserve
- Risk MIS / report review, resolution, escalations
- Liaise with Legal, Compliance, Divisional Control Office, market and product heads, Agile and Chief Operating Office and other internal partners to develop and implement solutions/compliance with various regulatory requirements
We offer a competitive compensation package, including:
- A diverse and inclusive environment that embraces change, innovation, and collaboration
- A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days
- Employee Resource Groups support an inclusive workplace for everyone and promote community engagement
- Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits
- Educational resources, matching gift, and volunteer programs
The salary range for this position in Jacksonville, FL is $75,000 - $110,000.