Senior Supervisory Principal

Senior Supervisory Principal

Charlotte, North Carolina

Remote — Up to $100K Base + 15% Bonus

A growing independent Broker-Dealer/RIA is adding a Senior Supervisory Principal to its Home Office Supervision team.

This is a newly created, high-visibility opportunity for an experienced supervision or compliance professional who enjoys partnering with Financial Advisors, resolving complex supervisory matters, mentoring teammates, and serving as a subject matter expert within a collaborative remote environment.

Although this is an individual contributor role, you'll play a key leadership role by supporting, mentoring, and guiding members of the Supervision team while working closely with leadership on escalated matters and regulatory oversight.

• Supervise the day-to-day activities of Financial Advisors and Investment Advisor Representatives
• Review new accounts, trades, annuities, alternative investments, and advisory activity
• Review written and electronic advisor communications
• Partner directly with advisors to resolve supervisory and compliance questions
• Research and respond to regulatory, legal, and escalated supervision matters
• Conduct advisor and field office training
• Mentor and support junior supervision team members
• Build strong relationships with advisors while balancing risk management and excellent service

• 5+ years of Broker-Dealer supervision, compliance, or risk management experience
• Strong knowledge of FINRA, SEC, and state regulations
• Experience reviewing:
  • New Accounts
  • Trades
  • Suitability
  • Annuities
  • Alternative Investments
  • Electronic Communications
• Excellent communication and relationship-building skills
• Comfortable working independently within a collaborative remote team

Required:

• Series 7
• Series 24 (or 9/10)
• Series 66 (or 63/65)

Preferred:

• Series 53
• Series 4
• Life & Health

• Smarsh
• Wealthscape
• Reg Ed
• Salesforce
• Envestnet
• eMoney
• Protegent / FIS
• Pershing X / Albridge

MOHR Talent is an equal-opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department at