Supervision Principal - Remote

Job Title:

Supervision Principal

Contract:

6 months Salary: $50-$60/hr remote:
Texas, Florida, Arizona, North Carolina, South Carolina, Georgia, Kentucky or Tennessee 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. As the Supervision Principal, you will be responsible for reviewing advisor interactions, ensuring compliance with recommendations, and monitoring suitability of financial plans.

Qualified candidates will have at least 5 years of experience in financial services, a Bachelor's Degree in a related field, and a FINRA Series 24 license. This is an exciting opportunity for career growth, excellent benefits, and a supportive work environment. Requirements & Responsibilities for the Supervision Principal:
• 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. Compensation for the Supervision Principal:
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Employment type:

Contract
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Schedule:

Standard business hours
• Salary/Pay: $50-60/hr.
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Location:

Remote - Texas, Florida, Arizona, North Carolina, South Carolina, Georgia, Kentucky or Tennessee Please send resumes to Is for immediate consideration!