Job Summary
A retail financial advice firm is filling a position for a Remote Regional Supervisory Principal.
Core Responsibilities of this position include:
- Ensuring that financial advisors are meeting the standards and requirements of regulatory agencies
- Identifying and executing training based on advisor needs and opportunities
- Identifying suspicious patterns in sales and business practice
Skills and Requirements Include:
- Engaging in regular supervisory office visits
- Undergraduate degree in Business, Accounting, Finance or related discipline
- 7+ years industry experience
- Series 7, 9 and 10 (or Series 24); Series 4 & 53 required or must pass within 120 days of employment
- Experience with all Microsoft applications
- All other requirements necessary for this position
