State Licensed Senior Supervisory Principal

Job Summary

To ensure compliance with regulatory standards and firm policies, the full-time remote State Licensed Senior Supervisory Principal will supervise the activities of Registered Representatives and Investment Advisory Representatives, conduct reviews of accounts and correspondence, and engage in training and mentoring within the Supervision department.

Key responsibilities

• Supervise day-to-day activities of assigned advisors and conduct supervisory reviews of new accounts, trades, and correspondence
• Resolve escalated supervisory and compliance issues while strengthening relationships with advisors and their support staff
• Research and prepare draft responses to regulatory and legal inquiries, and conduct field office training as required

Required qualifications

• Bachelor's degree and/or 5-7 years of industry experience, particularly in Supervision, Compliance, or risk management
• Knowledge of SEC, FINRA, and State rules and regulations, as well as BD and RIA business practices
• Series 7, 24 or 9/10, and 66 or 63/65 licenses required; Series 53, 24 if 9/10 only, required within 3 months of hire
• Proficiency in Windows applications and familiarity with industry tools such as FIS/Sungard/Protegent and Salesforce
• Ability to work collaboratively in a team environment while being accountable for individual results