State Licensed Supervisory Principal

A company is looking for a Regional Compliance Officer.

Key Responsibilities

Oversee and review activities of registered representatives for compliance with regulations

Conduct audits and branch examinations to assess supervisory controls and identify deficiencies

Develop and deliver compliance training programs for staff to ensure understanding of regulatory obligations

Required Qualifications

Bachelor's degree in Business, Finance, or a 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 license : FINRA SIE, Series 51, 63 / 65 or 66