Supervision Principal

Overview

Corner Stone Professional Placement has partnered with a local financial services company in their search for a Supervision Principal, well-versed in a wide range of products, including mutual funds, fixed income, and securities. This national firm has experienced significant growth over the past few years.

Job Title:

Supervision Principal
Temporary-6 months
Salary: $50-$60/hr.
City:
Fort Worth, TX
REMOTE ONLY possible if in Florida, Arizona, North Carolina, South Carolina, Georgia, Kentucky or Tennessee

• Review advisor interactions, including trades, client recommendations, and correspondence.
• Monitor compliance with regulatory requirements and suitability assessments.
• Provide training and education to advisors on best practices and compliance.
• Manage daily supervision inbox and ensure timely follow-ups on pending items.
• Identify process improvement opportunities and escalate issues as needed.

• At least 5 years of experience in financial services.
• Bachelor’s Degree in a related field.
• FINRA Series 24 license.

• Employment type:
  
  Temporary 6 months to a year
• Schedule:
  
  Standard business hours
• Salary/Pay: $50/hr - $60/hr
• Location:
  
  Fort Worth - Hybrid work schedule (Monday/Friday WFH);
  If out-of-area, remote allowed

To apply for this job, please email resumes