Senior Supervisory Principal

About This Gig

Job description Stratos Wealth Partners (SWP) is seeking a highly motivated and accountable individual to support the supervision team of Stratos. SWP provides a platform of Broker-Dealer and RIA services for our registered representatives/advisors. In addition, this role will also supervise Stratos Wealth Advisors, our RIA only platform. This individual must be well versed in both broker-dealer and RIA supervision. We are a growing, fast-paced independent firm that offers room for career advancement and development. Duties and Responsibilities: This role will be the supervision team lead. Conduct daily supervisory reviews and approvals, including but not limited to new business submissions, trade blotters, complex product transactions, and advisory account activity. Serve as a primary point of contact for financial advisors, providing guidance and ensuring understanding and compliance with all firm policies and regulatory requirements. Perform ongoing email and correspondence surveil

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