Remote Senior Supervisory Principal

Job Summary

A company is looking for a Senior Supervisory Principal (Remote).

Key Responsibilities

• Supervise the day-to-day activities of assigned Registered Representatives and Investment Advisory Representatives
• Conduct supervisory reviews of new accounts, trades, annuities, and alternative investments
• Engage in training and mentoring team members while resolving escalated supervisory and compliance issues

Required Qualifications

• Bachelor's degree and/or 5-7 years of industry experience, preferably in Supervision or Compliance
• Series 7, 24 or 9/10, and 66 or 63/65 licenses required
• Knowledge of SEC, FINRA, and State rules and regulations
• Proficiency in Windows applications such as Word, Excel, Teams, and Outlook
• Familiarity with industry tools such as FIS/Sungard/Protegent and Salesforce