Supervisory Principal

Company Overview

The Oak Ridge Financial Group, Inc. is an independent, full-service financial services firm delivering Private Client and Investment Banking Services to individual, institutional, and corporate customers. Our team of experienced professionals is dedicated to understanding clients’ goals and providing tailored strategies to help achieve them. We pride ourselves on building lasting relationships through personalized, results-driven financial solutions. At The Oak Ridge Financial Group, Inc.,

integrity and client success are at the core of everything we do. The Private Client Group is a full-service financial advisory and brokerage unit serving more than 3,000 clients throughout the U.S. Services include securities trading, investment management, estate planning, wealth management and insurance.

This is a full-time, on-site Supervisorial Principal position located in Golden Valley, MN. The Supervisorial Principal will be responsible for overseeing compliance and regulatory practices within the financial services environment, ensuring that operational workflows align with industry standards and legal requirements. Key responsibilities include supervising registered representatives, reviewing and approving communications, providing guidance on regulatory practices, handling escalations, and ensuring adherence to company policies.

This role will collaborate with various teams to maintain compliance excellence and implement solutions for risk mitigation.

• FINRA Series 7, 63/65 or 66, 24 Registrations
• Strong knowledge of compliance, regulatory practices, and operational guidelines in the financial industry
• 3+ years experience in supervision, managing registered representatives, and reviewing client communications
• Proficiency in critical thinking, problem-solving, and decision-making in a regulated industry
• Excellent written and verbal communication skills with attention to detail
• Ability to work effectively on-site in a collaborative team environment
• Bachelor’s degree in Finance, Business Administration, or a related field
• Supervisory and leadership experience in a financial services organization is a plus

Mid-Senior level

Full-time

Education and Training