Job Summary
A brokerage firm has an open position for a Telecommuting Senior Principal Supervisor
Core Responsibilities Include:
- Acting as a first line Supervisor, guide and resource to all HOS advisors and OSJ Managers and staff
- Ensuring advisor and OSJ understanding and compliance with all firm and industry requirements
- Identifying suspicious patterns in sales and business practice
Position Requirements Include:
- Undergraduate degree in Business, Accounting, Finance or related discipline
- Knowledge of mutual funds, annuities, general securities, and other financial products required
- 5+ years industry experience
- Series 7, 9 and 10 (or Series 24); Series 4 & 53 required or must pass within 90 days of employment
- Experience with all Microsoft applications
- All other requirements necessary for this position
