Supervisory Principal with Series 24 License
Job Summary
Working remotely in a full-time capacity, the Supervisory Principal with Series 24 License will oversee sales practices and branch personnel, ensuring compliance with regulations while managing transaction reviews and operational risk assessments.
Key responsibilities
- Review and analyze securities transactions to identify potential sales practice concerns
- Address account-level suitability alerts and escalate issues to the Field Supervisory Officer as necessary
- Collaborate with Compliance and Operations to enhance supervisory policies and procedures
Required qualifications
- 1-3 years of experience in the financial services industry
- Bachelor's degree or equivalent work experience
- Possession of Series 7 and 24 licenses; Series 63 & 65 or 66 must be obtained within 6 months
- Knowledge of retail brokerage and investment advisory programs
- Proficiency in Microsoft Excel, PowerPoint, Word, Project, and SharePoint
Complete Job Description
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