Job Summary
A financial services firm is seeking a Remote Central Supervision Principal Complex Product Lead.
Candidates will be responsible for the following:
- Enforcing compliance policies and procedures and escalates concerns when it is appropriate to do so
- Performing pre-approvals on transactions
- Performing ongoing special projects assigned by Sales Supervision Manager
Skills and Requirements Include:
- 5 years or more supervisory principal experience
- Must possess FINRA Series 7, 65/66, 24, and state insurance licenses or the ability to secure FINRA Series 4, 53 or 9/10
- Able to analyze advisor activity for trends and patterns
