Supervisory Principal - Broker​/Dealer

Overview

We are seeking a Supervisory Principal to join our client's team! This role requires a Series 24 and fluency in English and Spanish.

• Act as a liaison for transitioning practices to the broker dealer home office OSJ direct model
• Collaborates with broker dealer OSJs and shares best practices associated with the home office OSJ direct model
• Coordinate FINRA filings with compliance team
• Review of securities transactions on the electronic trade blotter including but not limited to equities, fixed income, mutual funds, UITs, municipal securities, and 529
• Reports to senior management with quarterly risk assessments and may propose new policies or procedures regarding risk
• Performs reviews of client accounts and documents and helps resolves client complaints
• Assist with regulatory exams and requests assist with the maintenance of the department’s written supervisory procedures
• Handle Registration issues
• Lead and/or participate on project teams to upgrade/ implement new regulatory related systems special projects as needed
• Oversees and supports recruited branch offices throughout the United States and US Territories reporting to the broker dealer’s home office OSJ direct recruited model

• Bachelor's/University degree or equivalent experience