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:

Provide supervision and oversight of investment branch operations and activities within an assigned region

Ensure compliance with FINRA, SEC, state regulatory requirements, and internal policies by partnering with advisors, branch leadership, and sales teams to support consistent supervisory practices

Identify, assess, and mitigate regulatory, supervisory, and operational risks by collaborating with Compliance, Risk Management, Legal, and Operations teams to address emerging issues

Monitor branch supervisory activities, performance metrics, and compliance trends, providing coaching, guidance, and regulatory expertise to advisors and branch personnel

Conduct reviews, investigations, and escalations related to supervisory concerns, client risks, and regulatory matters

Prepare reports, presentations, and management summaries regarding branch performance, supervisory trends, and risk assessments

Stay informed of industry developments, regulatory changes, and evolving supervisory expectations

Travel periodically within the assigned region and attend in-person meetings, including regular meetings in San Antonio

Always take action using Integrity, Caring, and Excellence to achieve all-win outcomes

What you’ll need:

Bachelor's degree in Business, Finance, or a related field; or equivalent experience

4+ years of experience in investment supervision, branch management, compliance, or financial services oversight, or a related area

Strong knowledge of securities products, advisory services, suitability standards, and the regulatory environment

Demonstrated ability to identify risk, exercise sound judgment, and make supervisory decisions

Excellent written and verbal communication skills

Proficiency with Microsoft Office applications

FINRA Series 7 and Series 65 or 66

FINRA Series 24 and Series 53 and/or Series 9/10, or ability to obtain within 120 days

Texas General Lines Agent License: Life, Accident, Health and HMO or ability to obtain within 90 days

Additional Preferred Skills:

FINRA Series 4

Experience supervising advisors within an Office of Supervisory Jurisdiction (OSJ), regional supervision, or branch examination environment

Proven ability to build collaborative relationships while balancing regulatory requirements with business objectives

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.