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Remote Senior Supervisory Principal
A company is looking for a Senior Supervisory Principal (Remote). Key Responsibilities Supervise the day-to-day activities of assigned Registered Representatives and Investment Advisory Representatives Conduct supervisory reviews of new accounts, trades, annuities, and alternative investments Engage in training and mentoring team members while resolving escalated supervisory and compliance issues Required Qualifications Bachelor's degree and/or 5-7 years of industry experience, preferably in Supervision or Compliance Series 7, 24 or 9/10, and 66 or 63/65 licenses required Knowledge of SEC, FINRA, and State rules and regulations Proficiency in Windows applications such as Word, Excel, Teams, and Outlook Familiarity with industry tools such as FIS/Sungard/Protegent and Salesforce
A company is looking for a Senior Supervisory Principal (Remote).
Key Responsibilities
Supervise the day-to-day activities of assigned Registered Representatives and Investment Advisory Representatives
Conduct supervisory reviews of new accounts, trades, annuities, and alternative investments
Engage in training and mentoring team members while resolving escalated supervisory and compliance issues
Required Qualifications
Bachelor's degree and/or 5-7 years of industry experience, preferably in Supervision or Compliance
Series 7, 24 or 9/10, and 66 or 63/65 licenses required
Knowledge of SEC, FINRA, and State rules and regulations
Proficiency in Windows applications such as Word, Excel, Teams, and Outlook
Familiarity with industry tools such as FIS/Sungard/Protegent and Salesforce