State Licensed Supervisory Principal
Job Summary
Working remotely within a Home Office based Supervision department, the full-time State Licensed Supervisory Principal will oversee compliance with regulatory standards and firm policies by supervising the day-to-day activities of Registered Representatives and Investment Advisory Representatives.
Key responsibilities
- Supervise the daily activities of assigned Registered Representatives and Investment Advisory Representatives
- Conduct supervisory reviews of new accounts, trades, annuities, and alternative investments
- Engage in field office training and resolve escalated supervisory and compliance issues
Required qualifications
- Bachelor's degree and/or 5-7 years of industry experience, particularly in Supervision or Compliance
- Knowledge of SEC, FINRA, and State rules and regulations
- Series 7, 24 or 9/10, and 66 or 63/65 licenses required
- Proficient with Windows applications and familiarity with industry tools like FIS/Sungard and Salesforce
- Strong understanding of BD and RIA business practices
Complete Job Description
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