Supervisory Principal - CA Licensed

Job Summary

A company is looking for a Supervisory Principal - Central Supervision Principal.

Key Responsibilities

• Review securities transactions for suitability and compliance
• Analyze transaction activity to identify potential sales practice concerns
• Collaborate with Regional Supervisory Principals to resolve sales practice issues

Required Qualifications

• Undergraduate degree in Business, Accounting, Finance, or related discipline
• 5+ years of industry experience in a compliance-related function
• Series 7, 24 (or Series 9 and 10); Series 4 and 53 required or must pass within 120 days of employment
• Knowledge of FINRA, SEC, and State rules and regulations required
• Knowledge of mutual funds, annuities, general securities, and other financial products required