Supervisory Principal

Supervisory Principal Role Overview

We are seeking a Supervisory Principal to join a high‑performing supervision team focused on compliance excellence and business oversight. This role is ideal for a registered principal who enjoys working in a fast‑paced, detail‑oriented environment and takes pride in supporting financial professionals while protecting firm standards.

Successful candidates are self‑motivated, analytical, and strong communicators with a deep understanding of financial services products and regulations.

Reporting to the Supervision Team Manager, you will be responsible for principal review, business oversight, and supervision activities, including:

• Oversee assigned financial representatives by reviewing and approving:
  • New customer accounts
  • Daily transactions
  • Correspondence
  • Regulation Best Interest (Reg BI) requirements
• Review alerts related to advisory account exceptions
• Conduct customer account reviews to identify potential sales abuses or suitability concerns
• Discuss compliance issues or potential violations directly with financial representatives
• Provide education and guidance to financial professionals on:
  • Regulatory, corporate, and legal requirements
  • Product offerings
  • Licensing matters
  • Internal processes and procedures

• 3+ years of compliance or relevant securities industry experience
• 3+ years of experience with securities products, including stocks, bonds, options, annuities, and mutual funds
• Strong understanding of industry rules governing transactions and suitability

• FINRA Series 7, 24, 63, and 65 or 66 (required)
• Series 52/53 required after hire

• Strong working knowledge of industry products and services (mutual funds, UITs, ETFs, REITs, annuities, alternative investments)
• Excellent communication and technology skills
• Ability to manage competing priorities in a fast‑paced, time‑sensitive environment
• Detail‑oriented with strong critical‑thinking skills
• Collaborative team player committed to department and firm success
• Customer‑focused mindset with strong relationship‑building skills

This is a Permanent position based out of Coppell, TX.

The pay range for this position is $75,000.00 - $ per year.

• Inclusive health, dental, vision, and life insurance plans designed to support diverse lifestyles, provide preventive care and protect against hardship.
• Access to mental health benefits to support team members and their families where they are.
• 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to allow employees to stay close with loved ones, recharge, and give back to communities.
• 401(k) savings plan with a generous company contribution (up to 5%) and access to a financial professional to offer employees opportunity to plan ahead for a strong financial future.
• Paid parental leave to support all team members with birth, adoption, and foster.
• Health Savings Account and Flexible Spending Account options to help employees save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), Life Lock, pet insurance and more.

This is a hybrid position in Coppell, TX.

This position is anticipated to close on May 27, 2026.

The company is an equal opportunity employer and will consider all applications without regard to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.

For positions located in the city and county of San Francisco, qualified applicants with arrest and conviction records will be considered for employment.

It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law may be subject to criminal and civil liability.

We may use Artificial Intelligence to support parts of our hiring process, including sourcing, screening, and evaluating candidates. AI assists in assessing applications and qualifications, but final decisions are made by our hiring team. By applying, you acknowledge and agree that your application may be reviewed using AI tools.