Principal Supervisor

• Conducting defined supervisory reviews and approvals related to registered employee activities
• Oversight of Email and personal brokerage activity
• Review outside business activity disclosures
• Investment transaction reviews
• Audit and compliance support
• Registration and licensing
• Written electronic communication review and escalation
• Enhanced Monitoring and Heightened Supervision administration
• Employee training and process improvement
• Identifying and escalating emerging risks and trends to ensure proactive supervision and regulatory compliance

• FINRA Series 7 and 66 required to be considered
• FINRA Series 9 and 10; must be willing to obtain within 120 days
• Strong client service skills
• Strong communication, time management and organizational skills
• Strong leadership and willingness to collaborate with partners
• Knowledge of and/or experience in Investments and/or Operations
• Familiarity with compliance and regulatory issues
• Prior knowledge of registration process, financial products, policies and procedures are highly preferred
• Bachelor’s Degree in related field or equivalent work experience

Demonstrates expertise in regulatory compliance, investment transaction reviews, and employee training, while effectively managing client relationships and enhancing operational processes. Proficient in identifying risks and ensuring adherence to financial regulations through strong communication and leadership skills.

• FINRA Series 7
• FINRA Series 66
• Investment Transaction Review
• Regulatory Compliance
• Client Service Skills

• FINRA Series 9
• FINRA Series 10
• Audit Support
• Registration Process Knowledge
• Financial Products Knowledge

• Strong Communication Skills
• Time Management Skills
• Organizational Skills
• Leadership Skills
• Collaboration Skills

• FINRA Series 7
• FINRA Series 66
• FINRA Series 9
• FINRA Series 10

• Compliance
• Regulatory Issues
• Employee Training
• Process Improvement
• Brokerage Activity