FINRA Licensed Regional Supervisory Principal

Job Summary

Responsible for the holistic supervision of HOS advisors and OSJ managers in their designated region, the full-time salaried FINRA Licensed Regional Supervisory Principal will resolve complex issues, maintain relationships with advisors, and ensure compliance with regulatory standards.

Key responsibilities

• Resolve escalated, complex issues received by the supporting supervisory team
• Act as the main point of contact for HOS advisors and/or OSJ managers, providing education, guidance, and assistance in maintaining compliance
• Oversee a supervisory team to ensure financial advisors meet supervision standards 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 a related discipline
• 7+ years of industry experience
• A minimum of 3 years in a direct supervisory capacity
• Experience with all Microsoft applications, particularly Excel, Word, Access, PowerPoint, and Visio