State Licensed Supervisory Principal
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Job Summary
To ensure compliance with regulatory standards, the full-time remote Senior Licensed Supervisory Principal will supervise the daily activities of Registered Representatives and Investment Advisory Representatives, conduct supervisory reviews, and engage in training and mentoring efforts within a Home Office based Supervision department.
Key Responsibilities
- Supervise day-to-day activities of assigned Registered Representatives and Investment Advisory Representatives
- Conduct supervisory reviews of new accounts, trades, and written/electronic correspondence
- Engage in training and mentoring of 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; additional certifications preferred
- Familiarity with industry tools such as FIS/Sungard/Protegent and Salesforce
- Proficient with Windows applications including Word, Excel, Teams, and Outlook
Complete Job Description
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