Supervisory Principal - Series 24

Overview:

A broker-dealer is seeking a Supervisory Principal to support day-to-day supervisory and compliance functions. This role is ideal for a professional who holds an active Series 24 and is looking to grow within a supervisory and regulatory environment while working closely with senior compliance leadership.

Key Responsibilities:

• Perform supervisory reviews of registered representatives’ activity in accordance with FINRA rules and firm policies


• Review and approve communications, transactions, and account activity as required


• Assist with supervision of trading activity, outside business activities, and correspondence


• Support implementation and maintenance of supervisory procedures and compliance controls


• Escalate potential regulatory or compliance issues to senior compliance leadership


• Assist with regulatory inquiries, examinations, and internal reviews


• Maintain accurate supervisory documentation and records


• Participate in compliance projects and ad hoc reviews as assigned

Qualifications:

• Active FINRA Series 24 required


• Bachelor’s degree in related field.


• 3+ years of experience in a broker-dealer compliance or supervisory role


• Working knowledge of FINRA rules and broker-dealer supervisory requirements


• Strong attention to detail and organizational skills


• Clear written and verbal communication skills


• Ability to work in a fast-paced, regulated environment