Remote Senior Financial Sales Supervision Principal

Location: Nationwide

Compensation: Salary

Staff Reviewed: Wed, Nov 17, 2021

This job expires in: 16 days

Job Category: Account Management

Remote Level: 100% Remote

Weekly Hours: Full Time

Employer Type: Employer

Career Level: Experienced

Education Level: Bachelors

Job Summary

A financial services company is seeking a Remote Senior Financial Sales Supervision Principal.

Core Responsibilities of this position include:

  • Conducting and overseeing account reviews for client's best interest
  • Tracking and assisting with investment issues and complaints
  • Providing compliance training and guidance

Required Skills:

  • Must be FINRA Series 63, 26, 65, or 66, 24 licensed
  • Must be FINRA Series 6 or 7 licensed
  • Five years of securities industry related experience
  • Bachelor's degree in finance or business-related field, or equivalent work experience
  • Thorough knowledge of securities products, FINRA, SEC and DOL regulations
  • Proficiency in MS Office (Word, Excel)

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