Bilingual Supervisory Principal – OSJ Lead

Leeds Professional Resources; Miami (FL); On-site; USD 110,000 - 170,000; Full time

Job summary

Leeds Professional Resources is seeking a Supervisory Principal for a client team in the United States. The role requires a Series 24 and fluency in English and Spanish, with the ability to oversee regulatory compliance and risk management.

The successful candidate will coordinate with broker-dealer OSJs and support the home office OSJ direct model, supervise supervisory procedures, and liaise with compliance during FINRA filings and regulatory exams.

Qualifications

• Bachelor's degree or equivalent experience required.
• Series 24 license is required.
• Fluency in English and Spanish is required.

Responsibilities

• Act as liaison for transitioning practices to the broker dealer home office OSJ direct model.
• Collaborate with broker dealer OSJs and share best practices for the home office OSJ direct model.
• Coordinate FINRA filings with the compliance team.
• Review securities transactions on the electronic trade blotter (equities, fixed income, funds, UITs, municipal securities, 529).
• Report to senior management with quarterly risk assessments and suggest new policies or procedures.

Education

Bachelor's/University degree or equivalent experience

Job description

Leeds Professional Resources is seeking a Supervisory Principal for a client team in the United States. The role requires a Series 24 and fluency in English and Spanish, with the ability to oversee regulatory compliance and risk management.

The successful candidate will coordinate with broker-dealer OSJs and support the home office OSJ direct model, supervise supervisory procedures, and liaise with compliance during FINRA filings and regulatory exams.