Responsibilities:
- Solid knowledge of financial services and investment advisory services
- Regular interaction with Regional Supervisors and Supervision leadership.
- Perform other assigned duties, including special projects, risk related research, creation of reporting, etc.
- Review, analyze and process transactions in accordance with business process documents.
- “First-touch supervisor”. Whether it is E-mail review, new account review, Surveillances, Correspondence review, or any of the other “regular and scheduled” supervisory responsibilities
- Ensuring customer satisfaction and striving to meet service standards by demonstrating accuracy with attention to detail, timely and methodical transaction processing.
- Contributes to the achievement of team objectives.
- Demonstrates continuous learning by updating job knowledge with available resources resulting in positive impact at work.
- Ability to be flexible and multitasking by accepting ownership for accomplishing new and different requests assigned by supervisor.
- Ability to use own initiative in team environment.




- Provide timely response to queries from internal and external stakeholders.
- Adherence to Compliance, Information security, Internal and External Statutory and regulatory requirements.
- Compliance with PGS policies and Flexibility as per business needs
- Develop strong partnerships with peers, mentors, support functions and leaders.

Qualifications:
Must Have:
- 2+ years of FINRA Supervision or Compliance experience is preferred.
- Securities licenses FINRA Series SIE, 7, 24 (or 9 and 10).
- Personable and reliable self-starter who requires mínimal management oversight for day-to-day work responsibilities.
- Excellent written and oral communication skills.
- Team players who possess great initiative, flexibility, excellent judgment and know how to provide indispensable service.
- Proficient in MS Office skills including Excel, SharePoint, Word and Power Point.

Additional Information:
- Good

📌 Psi Supervisor Ii (Hyderabad)
🏢 Principal Global Services
📍 Hyderabad