Principal Review Lead

Principal Review Lead
Wealth Management | Mesa, AZ | Hybrid | $75,000 + Incentive Bonus

This is not your average financial services firm. One of the fastest growing independent wealth management platforms in the country, they are scaling with purpose and building a team of experts who are empowered to own their work. The culture here is built on advocacy, innovation, and genuine investment in their people. This is a place where your expertise is recognized, your ideas are welcomed, and your growth is part of the plan.

• Performing principal review on complex client documents including POAs, corporate resolutions, margin applications, and more
• Owning the signature guarantee program from top to bottom, policies, procedures, risk controls, all of it
• Managing the full lifecycle of client service forms including creation, compliance review, and distribution
• Building out strategic weekly and quarterly reports that give leadership real, actionable insights
• Supporting project management on key departmental initiatives and cross‑functional rollouts
• Mentoring junior team members and serving as the go‑to expert for escalated operational issues

• Series 7, Series 24, and Series 63 or 66 (all required, no exceptions)
• 5+ years in financial services operations with a strong background in principal review or compliance
• Deep working knowledge of FINRA and SEC regulatory requirements
• Bachelor's degree in Finance, Business, or a related field (or equivalent experience)

• A senior seat at the table with real ownership over programs that matter
• Hybrid flexibility so you can do your best work your way
• A culture that is intentional about how it grows and who it grows with
• Competitive compensation, strong benefits, and a leadership team that invests in your development
• The opportunity to make a real impact during an exciting period of expansion

Your next career move should mean something. This one does.

If this sounds like the role you have been waiting for, we want to hear from you. Hit apply and let's start the conversation.

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