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Sales Supervision Principal
A company is looking for a Sales Supervision Principal to conduct suitability reviews and provide compliance oversight of registered representatives. Key Responsibilities Conduct and oversee account reviews for clients' best interests Work with principals/supervisors to reduce overall firm risk through performance monitoring and training Review investment advisory and insurance business for adherence to processes and controls Required Qualifications Bachelor's degree in finance or a business-related field, or equivalent work experience Two years of suitability or best interest review experience, or investment sales supervision FINRA Series 6 or 7 required FINRA Series 63, 26, 65, or 66, 24; or obtain within six months Thorough knowledge of securities products and relevant regulations
A company is looking for a Sales Supervision Principal to conduct suitability reviews and provide compliance oversight of registered representatives.
Key Responsibilities
Conduct and oversee account reviews for clients' best interests
Work with principals/supervisors to reduce overall firm risk through performance monitoring and training
Review investment advisory and insurance business for adherence to processes and controls
Required Qualifications
Bachelor's degree in finance or a business-related field, or equivalent work experience
Two years of suitability or best interest review experience, or investment sales supervision
FINRA Series 6 or 7 required
FINRA Series 63, 26, 65, or 66, 24; or obtain within six months
Thorough knowledge of securities products and relevant regulations