![Building A Digital PR Strategy: 10 Essential Steps for Beginners [With Examples]](https://buzzsumo.com/wp-content/uploads/2023/09/Building-A-Digital-PR-Strategy-10-Essential-Steps-for-Beginners-With-Examples-bblog-masthead.jpg)
![How One Brand Solved the Marketing Attribution Puzzle [Video]](https://contentmarketinginstitute.com/wp-content/uploads/2025/03/marketing-attribution-model-600x338.png?#)
FINRA Licensed Sales Supervisor
A company is looking for a Team Lead, Sales Supervision Principal. Key Responsibilities Monitor and provide oversight of Sales Supervision Principals; provide direction and training as needed Conduct suitability reviews of new business and oversee account reviews for clients' best interests Assist with regulatory audits and investigate violations or policy breaches Required Qualifications Bachelor's degree in finance or a business-related field, or equivalent work experience Seven years of securities industry experience, including suitability and investment sales supervision FINRA Series 6 or 7 and Series 63, 26, 65, or 66, 24 Thorough knowledge of securities products and relevant regulations Ability to analyze complex issues and recommend solutions
A company is looking for a Team Lead, Sales Supervision Principal.
Key Responsibilities
Monitor and provide oversight of Sales Supervision Principals; provide direction and training as needed
Conduct suitability reviews of new business and oversee account reviews for clients' best interests
Assist with regulatory audits and investigate violations or policy breaches
Required Qualifications
Bachelor's degree in finance or a business-related field, or equivalent work experience
Seven years of securities industry experience, including suitability and investment sales supervision
FINRA Series 6 or 7 and Series 63, 26, 65, or 66, 24
Thorough knowledge of securities products and relevant regulations
Ability to analyze complex issues and recommend solutions