State Licensed Supervisory Principal

Job Summary

A company is looking for a Regional Compliance Officer.

Key Responsibilities

• Oversee and review activities of registered representatives for compliance with regulations
• Conduct audits and branch examinations to assess supervisory controls and identify deficiencies
• Develop and deliver compliance training programs for staff to ensure understanding of regulatory obligations

Required Qualifications

• Bachelor's degree in Business, Finance, or a 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 license: FINRA SIE, Series 51, 63/65 or 66