FINRA Series 7 Supervisory Principal
Get new jobs like this one by email. Create a free account for job alerts and to save the jobs you like.
Job Summary
To support principal trade review and supervisory oversight activities, the full-time remote Supervisory Principal will manage transaction reviews, evaluate compliance with regulatory standards, and monitor trading activities across broker dealers.
Key responsibilities:
- Review and approve various financial transactions while ensuring compliance with regulatory requirements
- Conduct inspections and advisory oversight testing, identifying and escalating compliance risks
- Collaborate with advisors and business teams to resolve issues and maintain effective supervisory practices
Required qualifications:
- Active FINRA Series 7 license is required
- Three years of relevant experience in compliance, supervision, or financial services
- High School Diploma or GED required; a bachelor's degree is preferred
- Knowledge of FINRA supervision requirements and Regulation Best Interest
- Experience in supporting trade review and compliance-related activities
Complete Job Description
The complete job description is available to premium members. Premium membership includes:
Full access to 38,801 remote jobs from human-vetted companies, updated daily
Resume Builder - AI-powered tool to craft, enhance, and tailor your resume to a specific job
Twice-monthly live group coaching and the full Remote Career Center
20% member discount on Career Services
Backed by a 30-day money-back guarantee
Company Company Name
Headquarters Headquarters
Founded Founded
Website
Wikipedia Wikipedia URL
BBB URL BBB URL
The company description is available to premium members. Go Premium for full access to every job and company profile in our remote jobs database, backed by a 30-day money-back guarantee.
