State Licensed Regional Supervisory PrincipalVirtualVocations • Fremont, California, United States

State Licensed Regional Supervisory Principal

VirtualVocations • Fremont, California, United States

[job_card.1_day_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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Supervisory Principal • Fremont, California, United States

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