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, recent 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 recent 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