Minnesota Licensed Registered Principal
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Job Summary
To ensure compliance and supervisory excellence, the full-time remote Senior Region Registered Principal will oversee the sales activities of advisors, conduct practice assessments, and partner with corporate teams to resolve compliance issues.
Key Responsibilities
- Provide front-line supervision and compliance oversight for advisor practices through coaching, assessments, and inspections
- Identify potential policy violations through reviews of advisor activity and supervisory reports
- Collaborate with corporate partners to investigate and resolve compliance issues, ensuring adherence to policies
Required Qualifications
- Bachelor's degree or equivalent
- 7-10 years of relevant experience in the financial services industry
- Strong knowledge of broker-dealer regulations and supervisory requirements
- Exceptional communication and relationship management skills
- Maintains all required FINRA and state securities registrations, including Series 7, Series 24, Series 63/66, and Series 65/66, as applicable
Complete Job Description
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