Principal Review Supervisor
Core
Senior licensed principal reviewing complex financial transactions (brokerage, advisory, insurance, annuities, fixed income, options) for suitability and regulatory compliance across employee and independent advisor channels.
Role type
Senior IC principal review supervisor
Builds
Defensible transaction approvals and regulatory compliance for brokerage, advisory, and managed accounts
Domain
Financial services / Wealth management / Broker-dealer and Investment Adviser
Required skills
FINRA Series 7, Series 24, Series 66/65, principal review judgment, suitability analysis, regulatory knowledge (Reg BI, DOL PTE 2020-02), product expertise (insurance, annuities, fixed income, options), documentation rationale
Preferred skills
Dually registered broker-dealer/RIA experience, independent advisor channel experience, workflow automation testing, audit/examination support, branch inspection experience
Technologies
Review workflow systems, supervision systems
Responsibilities
Approve/condition/decline complex transactions across product lines; Review insurance/annuity transactions for suitability; Evaluate advisory recommendations against Reg BI; Document decision rationale; Communicate decisions to advisors; Escalate sales-practice concerns; Participate in calibration and QA; Define and test automated review rules; Mentor newer reviewers
Seniority
Senior, hands-on IC