FINRA Licensed Supervision Principal

Job Summary

To ensure compliance with regulatory standards, the full-time remote FINRA Licensed Supervision Principal will review and approve brokerage accounts, financial plans, and transactions while coordinating with the Field Supervision team to oversee the enterprise's broker-dealer and investment advisory distribution.

Key responsibilities

• Review and approve transactions for suitability across various financial products, ensuring adherence to regulations
• Investigate potential sales practice violations and implement corrective actions, including client and representative communication
• Provide education and training on compliance to representatives and the Office of Supervisory Jurisdiction through various methods

Required qualifications

• Bachelor's degree or equivalent combination of education and experience required
• 1-3+ years of relevant broker-dealer or registered investment advisor experience required
• 3-5 years of relevant experience preferred, with previous supervisory principal experience also preferred
• FINRA Series 7, 24, 53 required; Series 63/63 or 66 also required
• If lacking any of the required FINRA registrations, they must be acquired within 180 days of start