Supervisory Principal

M Financial was established with a new distribution network of entrepreneurial Member Firms. Working together with select carriers, we created better products for affluent clients and distributed them through this exclusive network of Member Firms.

The successful candidate with have a strong aptitude for understanding complex and changing security laws and regulations, combined with an ability to develop relationships and find resolutions to complex problems. This person will act as the OSJ supervisor for Member Firm offices. In this role they will minimize risk and leverage automation and innovation, resulting in enhanced service to Member Firms and efficiencies for M Securities. They will assist with the development and implementation of supervision programs, policies and procedures for the broker/dealer. They will help with the development of automated processes to enhance broker/dealer efficiencies. In addition, the Supervisory Principal will develop positive, solutions-oriented relationships with Member Firms. They will serve as a key point of contact with Member Firms, including the onboarding of new Member Firms and providing ongoing communications and training.

* Bachelor’s degree in Finance, Business Management or equivalent * Minimum of 5 years of progressively responsible, related work experience * Securities Licenses: Series 7, 24, 53, 63 and 65 or 66 (any licenses not currently held will need to be obtained within 6 months of employment) * Life insurance license or ability to obtain within 6 months of employment * Strong aptitude for understanding complex and changing security laws and regulations * Familiarity with the Investment Advisors Act of 1940; Securities Act of 1933 and Investment Company Act of 1940; FINRA and SEC rules; and state regulations * Experience with reviewing legal documents * Demonstrated ability to solve complex problems, find resolution to those problems, and recommend corrections * Excellent oral and written communication skills; strong attention to detail and excellent organizational skills * Excellent presentation, training and education skills * Well-developed interpersonal skills and the ability to establish and maintain effective working relationships with Member Firms, Carriers, state and federal regulators and M Team members * Well-developed computer skills, including the use of MS Word, Excel, PowerPoint, Internet and database management programs * Proven ability to keep track of, prioritize, and report status of multiple projects * Ability to work effectively, both independently as well as a member of a team