Manager, Principal Review
Core
Lead Series 24 principals to review brokerage, advisory, managed account, insurance, annuity, fixed income, and options transactions across employee and independent advisor channels.
Role type
Manager, Principal Review
Builds
Risk-based review model with tiered review, automation, straight-through processing, and AI-assisted triage
Domain
Financial Services / Broker-Dealer Supervision
Deliverable
production ML models
Required skills
FINRA Series 7, Series 24, Series 66/65, 5+ years principal review/supervision, 2+ years people leadership, FINRA Rules 3110/3120, Regulation Best Interest, DOL PTE 2020-02
Preferred skills
Broker-dealer/RIA dual registration, Docupace/NetX360/Smarsh experience, regulatory examination support, process change leadership, FINRA Series 4/53
Technologies
Docupace, NetX360, Smarsh
Responsibilities
Lead and develop review team, assign work by product/channel, serve as escalation point for complex reviews, run QA sampling and calibration, maintain and execute WSPs, support regulatory examinations and audits, implement risk-tiered review model and test automation, report desk metrics, hire and cross-train reviewers, support field supervision activities
Seniority
Manager, hands-on IC with team leadership