Remote Regional Supervisory Principal

Job ID: Available for Members

Location: Illinois, Wisconsin

Compensation: To Be Discussed

Staff Reviewed: Fri, Aug 10, 2018

Job Category: Financial, Management

Telecommute Level: Occasionally

Travel Requirements: Field Travel Required, Some Travel

Weekly Hours: Full Time

Employer Type: Employer

Career Level: Manager

Education Level: Bachelors

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