Regional Supervisory Principal - Broker Dealer

Employer Industry: Financial Services

• Salary range up to $
• Opportunity for career advancement and growth within the organization
• Work remotely with the flexibility of managing your own schedule
• Supportive and collaborative work environment focused on compliance and risk management
• Chance to make a positive impact on the financial services industry by ensuring adherence to regulations

• Oversee and review the activities of registered representatives and investment adviser representatives for compliance with regulatory requirements
• Conduct daily, weekly, and periodic reviews of transactions and client correspondence for suitability and compliance
• Provide guidance on complex compliance issues and regulatory updates to financial professionals
• Conduct internal audits and branch examinations to assess supervisory controls
• Develop and deliver compliance training programs for staff to ensure understanding of regulatory obligations

• Bachelor’s degree in Business, Finance, or a related field (or equivalent experience)
• 7–10 years of experience in a compliance or supervisory role within the financial services industry
• Strong knowledge of FINRA rules, SEC regulations, and state securities laws
• Required licenses: FINRA Series 7, 24
• Excellent communication, interpersonal, and relationship-building skills

• Preferred licenses: FINRA SIE, Series 51, 63/65 or 66
• Experience supervising variable annuities, mutual funds, alternative investments, and retirement plans

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