Key Responsibilities:
•Manage and develop registered principals who review and approve brokerage and advisory account applications.
•Oversee new account application reviews for completeness, accuracy, appropriateness, and compliance.
•Provide oversight of account-opening decisions, including escalated, complex, or higher-risk applications.
•Ensure consistent application of suitability, supervisory, KYC/AML, and account-eligibility requirements.
•Maintain review standards, procedures, escalation protocols, and approval criteria.
•Partner with Operations, Compliance, Legal, and Risk to resolve account-opening issues.
•Promote AI adoption and continuous improvement within the team.
•Monitor application volumes, turnaround times, quality metrics, exceptions, and KPIs.
•Conduct QA reviews to identify trends, deficiencies, training needs, and control weaknesses.
•Serve as escalation point for complex customer, account, product, ownership, restriction, or suitability matters.
•Maintain supervisory controls and documentation for account approvals.
•Lead training for registered principals and account-opening personnel.
•Support regulatory exams, internal audits, compliance testing, and management reporting.
•Stay current on relevant securities regulations, FINRA rules, firm policies, and industry practices.