Supervisory Principal

Job Summary & Introduction

I'm recruiting for a senior leadership opportunity with a well-established independent wealth management firm seeking an experienced Supervisory Principal to oversee branch supervision, regulatory compliance, and operational leadership. This is a highly visible position responsible for supporting a large advisor population while leading a team of compliance professionals.

This is an excellent opportunity for a hands-on leader who enjoys building processes, mentoring teams, and making meaningful improvements across the business. The successful candidate will have the credibility to partner with executive leadership, confidently navigate complex regulatory matters, and provide practical solutions that support continued growth.

• 10 to 20+ years of experience within wealth management supervision, compliance, or branch leadership
• Active Series 24 required
• Active Series 9/10 required
• Series 4 strongly preferred
• Active Series 7 and Series 63/65 or 66 required
• Experience supervising registered representatives and investment advisory personnel
• Proven people management experience with direct reports
• Strong working knowledge of both FINRA and SEC regulations
• Experience serving as a Supervisory Principal or Branch Manager
• Hands-on experience reviewing options activity
• Experience reviewing advertising, marketing materials, and correspondence
• Experience reviewing trade activity and regulatory exceptions
• Experience writing supervisory procedures, written policies, and desktop procedures
• Ability to investigate compliance matters and manage disciplinary or regulatory issues when necessary
• Strong operational mindset with the ability to improve processes and recommend best practices
• Experience with in a boutique or mid-sized wealth management firm is highly desirable
• Collaborative leadership style with the confidence to influence senior stakeholders

This leadership role combines branch supervision, regulatory oversight, and people management. You will oversee a team responsible for supporting advisors while ensuring compliance with regulatory requirements and internal supervisory standards.

• Lead and develop a team responsible for supervision and regulatory oversight
• Serve as the primary Supervisory Principal for a large branch of financial advisors
• Review complex account activity, trading, and options transactions for suitability and compliance
• Oversee advertising, marketing, and communications review processes
• Ensure adherence to FINRA, SEC, and internal supervisory requirements
• Develop, update, and enhance written supervisory procedures and operational documentation
• Partner with executive leadership to identify opportunities for process improvements and operational efficiencies
• Provide guidance on regulatory matters, escalations, and supervisory decisions
• Foster a culture of accountability, collaboration, and continuous improvement
• Travel occasionally to regional offices as needed

This is a hybrid leadership opportunity offering significant visibility within the organization and a clear path to expanded responsibility as the firm continues to grow. The organization is looking for someone who is comfortable rolling up their sleeves, leading from the front, and making recommendations that have a lasting impact across the business.

Compensation includes a competitive base salary in the $150,000 to $200,000 range plus performance-based bonus.