State Licensed Regional Supervisory Principal

Job Summary

A company is looking for a Regional Supervisory Principal - Broker-Dealer.

Key Responsibilities

• Oversee compliance of registered representatives and investment adviser representatives with regulatory requirements
• Conduct reviews of transactions, new accounts, and client correspondence for compliance
• Develop and deliver compliance training programs for staff

Required Qualifications

• Bachelor's degree in Business, Finance, or related field (or equivalent experience)
• 7-10 years of experience in a compliance or supervisory role within the financial services industry
• Strong knowledge of FINRA rules, SEC regulations, and state securities laws
• Required licenses: FINRA Series 7, 24
• Preferred licenses: FINRA SIE, Series 51, 63/65 or 66