State Licensed Supervisory Principal

Job Summary

To ensure compliance and effective oversight, the full-time remote State Licensed Supervisory Principal will manage the review of securities transactions, address account-level suitability alerts, and collaborate with the Compliance Department to enhance supervisory processes.

Key responsibilities

• Review and analyze securities transactions to identify potential sales practice concerns
• Address suitability alerts for brokerage and advisory accounts and escalate issues as necessary
• Support the development and enhancement of supervisory policies and procedures in collaboration with Operations and Compliance

Required qualifications

• 1-3 years' experience in the financial services industry
• Bachelor's degree or equivalent work experience
• Series 7 and 24 (or 9/10), Series 63 & 65 or 66 (or ability to obtain within 6 months)
• Knowledge of retail brokerage and investment advisory programs
• Proficient with Microsoft Excel, PowerPoint, and Word