Supervising Principal - Fully Remote

Job is Expired

Location: Remote

Compensation: Salary

Staff Reviewed: Thu, May 02, 2024

Job Category: Healthcare

Weekly Hours: Full Time

Career Level: Entry Level, Experienced

Education Level: Bachelors

Job Summary

A company is looking for a Supervising Principal - Fully Remote.

Key Responsibilities:

Coordinate trade and new account supervision for Registered Representatives/Investment Advisor Representatives
Review broker/dealer trade activity and advisory accounts for suitability
Conduct field office training and ensure compliance with firm/regulatory rules

Required Qualifications:

Bachelor's degree or 5+ years of industry experience
Recent compliance experience, sales management, and/or risk management
Series 7, 63, 24 licenses, and additional licenses required within 3 months of hire
Internal applicants must have a minimum of 1 year of service with the company
Internal applicants must have a minimum of 1 year service in the current role unless approved by EVP

COMPLETE JOB DESCRIPTION

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Job is Expired

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