Sales Practice Principal

• Monitors and reviews procedures and practices of partners to ensure compliance with applicable regulatory requirement, industry sales practices and adherence to internal policies.
• Review of trade activity, correspondence and trade exception reports.
• Conducts performance management and career development processes, provides input for staffing and disciplinary actions and provides hands-on training to Registered Associates.
• Integration of business unit within firm initiatives and the furtherance of teamwork.
• Stays up to date of current and pending laws, regulations, and rules governing the industry.
• Coordinates partner development to include onboarding, orientation and ongoing training.
• Identifies, escalates and resolves client complaints and audit issues.
• Maintains relationships with and works to collaborate with operations, compliance and trading groups.

• FINRA Securities Industry Essentials (SIE), 7 or 7TO, 66, 24, 4, and 53 or 52 & 53TO registrations required or willingness to acquire within specified time
• Minimum three years of experience, preferably in compliance or supervision; or equivalent financial services industry related experience
• Previous management or supervisory experience
• A college or university degree and/or 5-10+ years of relevant work experience

Demonstrates expertise in compliance monitoring, regulatory adherence, and performance management within the financial services industry. Proven ability to train and develop staff while maintaining strong relationships across operations and compliance teams.

• FINRA Securities Industry Essentials (SIE)
• Compliance Management
• Performance Management
• Supervisory Experience
• Client Complaint Resolution

• Regulatory Compliance
• Trade Activity Review
• Audit Issue Resolution
• Career Development Processes
• Onboarding and Training

• Team Collaboration
• Relationship Management
• Hands-On Training

• FINRA Series 7
• FINRA Series 66
• FINRA Series 24
• FINRA Series 4
• FINRA Series 53

• Financial Services
• Sales Practices
• Regulatory Requirements
• Internal Policies
• Client Complaints