Senior Supervisory Principal - Central Supervision Principal
Core
Front-line supervisory professional ensuring compliance and suitability of securities transactions and account activities for top-tier Financial Advisors.
Role type
Senior Supervisory Principal (Compliance)
Builds
Production compliance reviews and supervisory oversight for brokerage and advisory accounts
Domain
Financial Services / Wealth Management / Securities Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work -> dashboards & analysis (compliance reviews)
Required skills
Securities transaction review, account-level suitability analysis, regulatory compliance knowledge (FINRA, SEC, State rules), complex product oversight (annuities, alternatives), sales practice concern identification, documentation approval, multi-tasking, attention to detail
Preferred skills
Subject matter expertise in centralized review processes, ability to develop compliance systems and strategies
Technologies
Electronic trade blotter, electronic supervisory tool suite
Responsibilities
Review securities transactions for suitability and compliance, analyze transaction activity to identify sales practice concerns, supervise Advisory and RIA business models, oversee complex products and MSRB securities, collaborate to escalate and resolve concerns
Seniority
Senior, hands-on IC