Job Description:

Our client is seeking a highly skilled and experienced Supervisory Principal with a valid Series 24 license to join their team. This individual will play a pivotal role in ensuring regulatory compliance, monitoring activities, and guiding their financial professionals to maintain the highest standards of integrity.

Key Responsibilities:

• Oversee and review sales activities and trading practices to ensure compliance with industry regulations.
• Conduct regular audits and support the development of compliance policies and procedures.
• Train and mentor registered representatives on regulatory requirements and firm policies.
• Act as a key liaison with regulatory agencies, including FINRA and the SEC, during inspections or inquiries.

Qualifications:

• Active Series 24 license required.
• Strong track record in a supervisory or compliance role within the financial industry.
• In-depth understanding of FINRA and SEC regulations.
• Exceptional communication, analytical, and problem-solving abilities.