State Licensed Senior Principal
A company is looking for a Sr Principal. Key Responsibilities Conduct complex reviews and monitor activity of the firm's insurance, securities, and retail advisory business for compliance Identify, address, and document concerns, escalating when appropriate Provide assistance to management and offer professional customer service to members and field personnel Required Qualifications College degree or equivalent work experience required 5-7 years of experience in the financial services industry or related compliance experience Advanced knowledge of FINRA/SEC/IA/NAIC/MSRB rules and regulations FINRA Series 6, 7, 24, 26, 63/65, 66, 4, 51, 52, 53, and/or 9/10 required or to be obtained within 90 days of hire Thorough understanding of financial services industry products, including life and annuities, mutual funds, and advisory products
A company is looking for a Sr Principal.
Key Responsibilities
Conduct complex reviews and monitor activity of the firm's insurance, securities, and retail advisory business for compliance
Identify, address, and document concerns, escalating when appropriate
Provide assistance to management and offer professional customer service to members and field personnel
Required Qualifications
College degree or equivalent work experience required
5-7 years of experience in the financial services industry or related compliance experience
Advanced knowledge of FINRA/SEC/IA/NAIC/MSRB rules and regulations
FINRA Series 6, 7, 24, 26, 63/65, 66, 4, 51, 52, 53, and/or 9/10 required or to be obtained within 90 days of hire
Thorough understanding of financial services industry products, including life and annuities, mutual funds, and advisory products
