Security Professional

Russell Tobin is partnering with a leading Midwest financial institution seeking a General Securities Principal to support broker‑dealer supervision and regulatory compliance oversight.

This role is responsible for reviewing and approving transactions, conducting suitability assessments, and ensuring adherence to internal policies and SEC/FINRA regulations. The position partners closely with another Principal to manage supervisory workflows and strengthen compliance processes.

This opportunity is remote eligible with a requirement to travel onsite once per month (expenses paid) and 2–3 days onsite during the first week for onboarding.

• Conduct suitability reviews of new business and transactions requiring Principal approval
• Ensure documentation accuracy and enforce sales practice standards
• Review and test supervisory procedures in alignment with regulatory requirements
• Maintain deep product knowledge across brokerage and annuity offerings
• Partner with internal stakeholders on product updates and compliance communications
• Support new product implementation and operational enhancement initiatives
• Manage signature guarantee processes and related controls
• Make timely, independent supervisory decisions within a shared queue environment

• Active Series 7 license
• Active Series 66 or 63 license
• 3+ years of financial services experience
• Experience with in a broker‑dealer environment
• Strong understanding of suitability standards and transaction supervision

• Series 24, 26, 53, and/or 4 (or ability to obtain within 6 months)
• Prior supervisory or OSJ experience
• Experience with Salesforce and/or clearing firm systems