State Licensed Supervisory Principal

Job Summary

To ensure compliance with regulatory standards, the remote Senior Licensed Supervisory Principal will supervise the daily activities of Registered Representatives and Investment Advisory Representatives, review accounts and correspondence, and conduct training for field offices.

Key responsibilities

• Supervise day-to-day activities of assigned Registered Representatives and Investment Advisory Representatives
• Conduct supervisory reviews of new accounts, trades, annuities, and alternative investments
• Engage in training and mentoring team members while resolving escalated supervisory and compliance issues

Required qualifications

• Bachelor's degree and/or 5-7 years of industry experience in Supervision, Compliance, or risk management
• Knowledge of SEC, FINRA, and State rules and regulations
• Series 7, 24 or 9/10, and 66 or 63/65 required; Series 53 and 24 required within 3 months of hire
• Familiarity with industry tools such as FIS/Sungard/Protegent, Envestnet, and Salesforce
• Proficient with Windows applications including Word, Excel, Teams, and Outlook