FINRA Licensed Regional Supervisory Principal

Job Summary

A company is looking for a Sr Regional Supervisory Principal.

Key Responsibilities

• Resolve escalated, complex issues received by the supporting supervisory team
• Maintain ongoing relationships with HOS advisors and OSJ managers, acting as a main point of contact for education and guidance
• Ensure assigned financial advisors meet the standards and requirements of supervision set by regulatory agencies and the firm

Required Qualifications

• Licensing Requirements: 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 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