State Licensed Supervisory Principal

Job Summary

To support the supervision of complex financial products, the full-time State Licensed Supervisory Principal will serve as a subject matter expert, ensuring compliance with regulatory standards while managing suitability reviews and project support remotely.

Key responsibilities

• Conduct suitability reviews and approvals for transactions involving complex products such as alternative investments and structured products
• Serve as a liaison with vendors and wholesalers while assisting with regulatory exams and maintaining supervisory procedures
• Lead investigations into questionable sales activities and collaborate with teams to resolve complex issues under tight deadlines

Required qualifications

• Undergraduate degree in Business, Accounting, Finance, or a related discipline
• Series 7, 66 (or 63 and 65), 24 (or 9 and 10), 4 & 53 required, with the ability to obtain any missing exams within 90 days
• 5+ years of industry experience with a strong understanding of complex financial products
• Knowledge of mutual funds, annuities, general securities, and relevant FINRA, SEC, and state regulations
• Experience in project management and the ability to handle regulatory and supervisory-based decisions effectively