State Licensed Supervisory Principal

A company is looking for a Sr. Supervisory Principal. Key Responsibilities: Review securities transactions for suitability and compliance with regulations and firm policy Analyze transaction activity and identify potential sales practice concerns Collaborate with Regional Supervisory Principals to escalate and resolve sales practice concerns Required Qualifications: Undergraduate degree in Business, Accounting, Finance or related discipline 5+ years of industry experience in a compliance-related function Series 7, 24 (OR Series 9 AND 10); Series 4 AND 53 required OR must pass within 120 days of employment Series 66 (OR Series 63 AND 65) required Knowledge of FINRA, SEC, and State rules and regulations required

Created: 2026-03-05