FINRA Licensed Supervisory Principal

Job Summary

FINRA Licensed Supervisory Principal, responsible for the holistic supervision of HOS advisors and OSJ managers in their designated region, working full-time in the financial services industry.

Key Responsibilities

• Resolve escalated, complex issues received by the supporting supervisory team
• Maintain ongoing relationships with HOS advisors and OSJ managers, providing education and guidance for compliance
• Support 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
• 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