Registered Principal (FINRA Licensed)
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Job Summary
Supervising the sales activities and compliance of financial advisors, the full-time remote Senior Region Registered Principal (FINRA Licensed) will provide oversight, conduct practice assessments, and partner with corporate teams to address compliance issues.
Key Responsibilities
- Provide front-line supervision and compliance oversight through coaching, practice assessments, and office inspections
- Identify potential policy violations via targeted reviews of advisor activity and supervisory reports
- Collaborate with corporate partners to investigate and resolve compliance and supervisory issues
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
- Proven ability to exercise sound judgment in complex situations
- Maintains all required FINRA and state securities registrations, including Series 7, Series 24, Series 63/66, and Series 65/66
Complete Job Description
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