North Carolina Licensed Supervisory Principal

Job Summary

To ensure compliance and support financial advisors, the full-time salaried North Carolina Licensed Supervisory Principal will oversee the supervision of HOS advisors and OSJ managers, resolve complex issues, and maintain strong relationships within their designated region.

Key responsibilities

• Resolve escalated, complex issues received by the supervisory team
• Act as the main point of contact for HOS advisors and OSJ managers, providing education and guidance on compliance
• Collaborate with a supervisory team to ensure adherence to regulatory standards and firm 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