Supervising Principal - Fully Remote

Location: Remote
Compensation: Salary
Staff Reviewed: Thu, May 02, 2024
This job expires in: 3 days

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

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