Supervisory Principal – OBA/Background Review
Listed on 2026-02-12
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Finance & Banking
Regulatory Compliance Specialist
Supervisory Principal – OBA / Background Review
3 days ago Be among the first 25 applicants
This range is provided by Associate Staffing. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range: $40.00/hr - $42.00/hr
The Company
A prominent fortune 500 financial services firm with a nationwide network of independent financial advisors. This company offers an extensive selection of investment products and services to individuals, businesses, and institutions, with a strong emphasis on utilizing innovation and technology to cultivate client relationships.
The Supervisory Principal is responsible for the review of Outside Business Activity and Private Securities Transaction Requests for advisors. They are also responsible for ensuring the advisors are meeting the standards and requirements that are set by the company and conducting due diligence reviews.
Qualifications- Licenses/Certifications
Required:
FINRA Series 7, 24, 63 or 66 - 2 years of experience
- Experience reviewing Outside Business Activity (OBA) for advisors is required for this position
- Experience with Microsoft applications, particularly Excel, Word, Access, PowerPoint, SharePoint, and Visio
- CRD and U4 Review experience is a bonus
Entry level
Employment TypeContract
Job FunctionEducation and Training
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