Job Summary

An RIA custodian and financial broker-dealer has an open position for a Supervisory Principal.

Core Responsibilities Include:

• Reviewing of securities transactions on the electronic trade blotter for suitability and compliance with regulations and firm policy
• Supervising activity within the Advisory and RIA business models
• Collaborating with Regional Supervisory Principals and other business partners to escalate and resolve sales practice concerns. Subject Matter Expertise

Required Skills:

• Bachelors degree
• Excellent communication skills
• Experiences in the financial sector
• Great interpersonal skills