FINRA Licensed Sales Supervisor

Job Summary

A company is looking for a Sr Sales Supervision Principal (Work from Home).

Key Responsibilities

• Conduct principal review and approval for suitability and client's best interest on various business types
• Ensure adherence to business line processes and controls, recommending improvements as needed
• Develop and provide training on business submission processes and maintain supervisory procedures

Required Qualifications

• Bachelor's degree in finance, business, or a related field, or equivalent professional experience
• Five years of experience in suitability/best interest review, investment supervision, or a related compliance function
• FINRA Series 7 and 24 licenses
• FINRA Series 65 or 66 and 51 or 53, or ability to obtain within one year
• Strong knowledge of securities products and regulatory frameworks (FINRA, SEC, DOL)