Minnesota Licensed Principal
Job Summary
Focusing on suitability and best interest reviews, the full-time Minnesota Licensed Principal will ensure compliance with regulatory standards in the firm's insurance, securities, and investment advisory business while collaborating with team members to enhance operational efficiency and accountability in a remote setting.
Key responsibilities
- Review and monitor the firm's insurance, securities, and investment advisory activities to ensure compliance with policies and regulations
- Make risk-based decisions and escalate complex issues to management as necessary
- Participate in initiatives that enhance risk management and client services while supporting a culture of continuous improvement
Required qualifications
- College degree or equivalent work experience
- 0-1 year of experience in the financial services industry
- Basic knowledge of FINRA/SEC/IA/MSRB rules and regulations
- FINRA Series 7, 24 or 9/10, 63/65 or 66 required or to be obtained within 90 days of hire
- Solid understanding of financial services industry products
Complete Job Description
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