Supervisory Principal Consultant

Alternate Locations:
Work from Home;
Ashburn, VA (Virginia);
Atlanta, GA (Georgia);
Austin, TX (Texas);
Baltimore, MD (Maryland);
Baton Rouge, LA (Louisiana);
Birmingham, AL (Alabama);
Boise,  (Idaho);
Boston, MA (Massachusetts);
Buffalo, NY (New York);
Canonsburg, PA (Pennsylvania);
Charlotte, NC (North Carolina);
Chicago, IL (Illinois);
Cincinnati, OH (Ohio);
Clearwater, FL (Florida);
Cleveland, OH (Ohio);
Columbia, MD (Maryland);
Columbia, SC (South Carolina);
Columbus, OH (Ohio);
Concord, NH (New Hampshire);
Dallas, TX (Texas);
Deerfield Beach, FL (Florida);
Denver, CO (Colorado);
Des Moines, IA (Iowa);
Detroit, MI (Michigan);
Dover, NH (New Hampshire);
Durham, NC (North Carolina);
Edina, MN (Minnesota);
Edison, NJ (New Jersey);
El Paso, TX (Texas);
Ellicott City, MD (Maryland);
Fayetteville, SC (South Carolina);
Florence, SC (South Carolina);
Fort Lauderdale, FL (Florida);
Fort Wayne, IN (Indiana);
Fort Worth, TX (Texas);
Gainsville, FL (Florida);
Glen Allen, VA (Virginia);
Greensboro, NC (North Carolina);
Hartford, CT (Connecticut);
Huntsville, AL (Alabama);
Indianapolis, IN (Indiana);
Jacksonville, FL (Florida);
Johnson City, TN (Tennessee);
Kansas City, KS (Kansas);
Kansas City, MO (Missouri);
Lexington, KY (Kentucky);
Louisville, KY (Kentucky);
Lutherville, MD (Maryland);
Madison, WI (Wisconsin);
Memphis, TN (Tennessee);
Miami, FL (Florida);
Milwaukee, WI (Wisconsin);
Minneapolis, MN (Minnesota);
Nashville, TN (Tennessee);
New Braunfels, TX (Texas);
Norwood, OH (Ohio);
Orlando, FL (Florida);
Paramus, NJ (New Jersey);
Parsippany, NJ (New Jersey);
Philadelphia, PA (Pennsylvania);
Phoenix, AZ (Arizona);
Pittsburgh, PA (Pennsylvania);
Plano, TX (Texas);
Portland, ME (Maine);
Portland, OR (Oregon);
Radnor, PA (Pennsylvania);
Raleigh, NC (North Carolina);
Richmond, VA (Virginia);
Rochester, NY (New York);
Rockville, MD (Maryland);
Rolling Meadows, IL (Illinois);
Rye Brook, NY (New York);
Sacramento, CA (California);
San Antonio, TX (Texas);
San Antonio, TX (Texas);
Schaumburg, IL (Illinois);
Scottsdale, AZ (Arizona);
St. Louis, MO (Missouri);
St. Petersburg, FL (Florida);
Syosset, NY (New York);
Tampa, FL (Florida);
Toledo, OH (Ohio);
Tucson, AZ (Arizona)

Work Arrangement:

Remote :
Work at home employee residing outside of a commutable distance to an office location.

Relocation assistance: is not available for this opportunity.

Requisition #: 76100

The Role at a Glance

The Supervision Consultant supports the day-to-day oversight of registered representatives in a wholesale broker-dealer environment. This role is a first line of defense embedded in the business, focused on high-volume supervision, risk management, and operational execution.

The Supervision Consultant will oversee activities such as communications, non-cash compensation (NCC), and marketing - helping the business move efficiently while staying aligned with regulatory requirements. This role will supervise wholesalers who partner with financial professionals - with a focus on sales engagement, communications, and behavioral risk.

What you'll be doing

* Reviewing and approving high-volume supervision items, including non-cash compensation (credit cards, check requests) and Logoed related orders

* Monitoring gift & entertainment activity for policy, strategic firm and regulatory compliance

* Conducting surveillance of email, text, and social media communications

* Responding to field inquiries and providing clear, practical supervision guidance

* Conducting annual interviews and training sessions with registered representatives

* Identifying and escalating potential risks, applying sound, business-aware judgment

* Contributing to or lead SME areas (e.g., NCC, communications, marketing, registration, complaints)

* Partnering with Compliance (2nd line) and Field Assurance (3rd line) to ensure effective oversight

* Delivering fast, accurate supervision in a high-volume environment

* Identifying risks early without slowing down business

* Building expertise in key areas and improving consistency and quality across reviews

What we're looking for

Must-Haves

* 4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of…