Remote Supervisory Principal

Location: Nationwide

Compensation: To Be Discussed

Staff Reviewed: Mon, Oct 04, 2021

This job expires in: 9 days

Job Category: Financial

Remote Level: 100% Remote

Employer Type: Employer

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

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