Bachelor’s degree in business administration, finance, or related field; or equivalent experience
4+ years of experience in management and supervision of financial services branches
Strong knowledge of financial products, services, and regulatory environment
Excellent written and verbal communication skills
Proficient in Microsoft computer applications
FINRA Series 7 and 65 or 66
FINRA Series 24 or 9/10, with Series 53 required or ability to obtain within 120 days
Texas General Lines Agent License: Life, Accident, Health and HMO or ability to obtain within 90 days
Responsibilities
Oversee the operations and compliance of the company's regional branches
Ensure adherence to company policies and regulatory guidelines
Identify and mitigate risks within the branches
Collaborate with sales teams to develop compliance strategies
Monitor branch performance and provide guidance for improvement
Prepare reports and presentations for senior management
Stay current with industry developments and regulations
Collaborate with compliance and risk management teams
Benefits
Medical, dental, vision, long-term disability, and life insurance
401(k) matching
Generous holiday and paid time off schedule
Tuition reimbursement
Extensive health and wellness programs, including Employee Assistance Program
Referral bonus program + more!
Full Job Description
Job Description
Who you are:
As an Investments Regional Supervision Principal, you will be responsible for ensuring that all branches are adhering to company policies and regulatory guidelines. You will help bring value to the organization by working closely with sales teams to develop and implement strategies to achieve compliance requirements. Our managers enjoy collaboration, often working with compliance and risk management teams to identify and mitigate risks across the state. You welcome a challenge and strive to continuously improve processes with integrity, caring and excellence in mind.
What you’ll do:
Oversee the operations and compliance of the company's regional branches
Ensure that all branches are adhering to company policies and regulatory guidelines
Identify and mitigate risks within the branches
Work closely with sales teams to develop and implement strategies to achieve compliance requirements.
Monitor branch performance and provide guidance and support to improve performance
Prepare reports and presentations to communicate branch performance to senior management
Stay current with industry developments and regulations
Collaborate with the compliance and risk management teams to identify and mitigate risks
Periodic travel for in person team meetings
Always take action using Integrity, caring and Excellence to achieve all-win outcomes
What you’ll need:
Bachelor’s degree in business administration, finance, or related field; or equivalent experience
4+ years of experience in management and supervision of financial services branches
Strong knowledge of financial products, services, and regulatory environment
Excellent written and verbal communication skills
Proficient in Microsoft computer applications
FINRA Series 7 and 65 or 66
FINRA Series 24 or 9/10, if 24, then Series 53 is required or the ability to obtain within 120 days from employment
Texas General Lines Agent License: Life, Accident, Health and HMO or ability to obtain within 90 days
Additional Preferred Skills:
FINRA series 4
Our Benefits:
At Frost, we care about your health, your family, and your future and strive to have our benefits reflect that. This includes:
Medical, dental, vision, long-term disability, and life insurance
401(k) matching
Generous holiday and paid time off schedule
Tuition reimbursement
Extensive health and wellness programs, including our Employee Assistance Program
Referral bonus program + more!
About Frost Bank
Frost Bank is a subsidiary of Cullen/Frost Bankers, Inc., a financial holding company, headquartered in San Antonio, Texas. The company provides a wide range of banking, investments, and insurance services to businesses and individuals in Texas. Frost Bank has over 130 branches across Texas and offers online banking services to its customers. The bank was founded in 1868 by Thomas Claiborne Frost and has been serving Texans for over 150 years.
