California Licensed Supervisory Principal
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Job Summary
To support a growing financial services team, the full-time California Licensed Supervisory Principal will manage the supervision of HOS advisors and OSJ managers, resolve complex issues, and maintain relationships to ensure compliance, all while working remotely.
Key responsibilities
- Resolve escalated, complex issues received by the supervisory team
- Maintain ongoing relationships with HOS advisors and OSJ managers, providing education and guidance for compliance
- Collaborate with a supervisory team to ensure financial advisors meet regulatory standards and requirements
Required qualifications
- FINRA Series 7, 9, and 10 (or Series 24); Series 4 & 53 required or must pass within 120 days of employment; Series 66 (or S63 and S65)
- Undergraduate degree in Business, Accounting, Finance, or a related discipline
- 7+ years of industry experience
- A minimum of 3 years in a direct supervisory capacity
- Knowledge of FINRA, SEC, and State rules and regulations
Complete Job Description
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