Supervisory Principal – Outside Business Activity

Supervisory Principal – Outside Business Activity

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$40.00/hr - $42.00/hr

A prominent fortune 500 financial services firm with a nationwide network of independent financial advisors. The company offers an extensive selection of investment products and services to individuals, businesses, and institutions, with a strong emphasis on utilizing innovation and technology to cultivate client relationships.

The Supervisory Principal is responsible for the review of Outside Business Activity and Private Securities Transaction Requests for advisors. They are also responsible for ensuring the advisors are meeting the standards and requirements that are set by the company and conducting due diligence reviews.

• Licenses/Certifications
  
  Required:
  
  FINRA Series 7, 24, & 63 (or 66)
• 2 years of experience
• Experience reviewing Outside Business Activity (OBA) for advisors is required for this position
• Experience with Microsoft applications, particularly Excel, Word, Access, PowerPoint, SharePoint, and Visio

Associate Staffing is an Equal Opportunity Employer and does not discriminate against any employee or applicant for employment based on race, color, religion, sex, national origin, age, disability, veteran status, sexual orientation, gender identity, or any other protected status under applicable law. We are committed to creating a diverse and inclusive work environment and welcome applicants from all backgrounds to apply for open positions with our company.

Mid-Senior level

Contract

Education and Training

Staffing and Recruiting

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