Investments Regional Supervision Principal

Job Description
It’s about expecting great things and making them happen.
Do you have a knack for paying attention to all the small details? Are you known for your goal-oriented mindset and always thinking one step ahead? Are you ready to facilitate all the moving pieces to help deliver a top-quality investments experience? If so, being an Investments Regional Supervision Principal with Frost could be for you.
At Frost, it’s about more than a job. It’s about having a flourishing career where you can thrive, both in and out of work. At Frost, we’re committed to fostering an environment that reflects our values and encourages team members to be the best they can be. In joining our adaptable, integrity-driven team, you’ll become part of Frost’s over 150-year legacy of providing unparalleled banking services.
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!
Since 1868, Frost has dedicated their expertise to provide exceptional banking, investment, and insurance services to businesses and individuals throughout Texas. Frost is one of the 50 largest U.S. banks by asset size and is a leader in banking customer satisfaction. At Frost, it’s about being part of something bigger. If this sounds like you, we encourage you to apply and see what’s possible at Frost.