State Licensed Regional Supervisory PrincipalVirtualVocations • Lubbock, Texas, United States
State Licensed Regional Supervisory Principal
VirtualVocations • Lubbock, Texas, United States
[job_card.variable_days_ago]
[job_preview.job_type]
- [job_card.full_time]
[job_card.job_description]
A company is looking for a Regional Supervisory Principal - Broker-Dealer.
Key Responsibilities
Oversee compliance of registered representatives and investment adviser representatives with regulatory requirements
Conduct reviews of transactions, new accounts, and client correspondence for compliance
Develop and deliver compliance training programs for staff
Required Qualifications
Bachelor's degree in Business, Finance, or related field (or equivalent experience)
7-10 years of experience in a compliance or supervisory role within the financial services industry
Strong knowledge of FINRA rules, SEC regulations, and state securities laws
Required licenses : FINRA Series 7, 24
Preferred licenses : FINRA SIE, Series 51, 63 / 65 or 66
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