State Licensed Supervisory Principal
Job Summary
Working remotely within a Home Office based Supervision department, the full-time State Licensed Supervisory Principal will coordinate trade and new account supervision for Registered Representatives/Investment Advisor Representatives, ensuring compliance with firm and regulatory rules.
Key responsibilities
- Coordinate trade and new account supervision within a designated service team
- Review broker/dealer trade activity and new accounts for suitability and compliance
- Conduct field office training and oversee the supervisory review of correspondence
Required qualifications
- Bachelor's degree and/or 5-7 years of industry experience, including compliance and risk management
- Series 7, 24 or 9/10, and 66 or 63/65 licenses required
- Proficiency in Windows applications such as Word, Excel, and Outlook
- Excellent organizational skills and strong attention to detail
- Ability to work collaboratively in a team environment while being individually accountable
Complete Job Description
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