Compliance Principal: Trade & AML Surveillance (Remote)

Mutual Group; United States; Remote; USD 70,000 - 110,000; Full time

Benefits offered by this job

Comprehensive medical, dental, and eye

401(k) with company match

Paid time off and holidays

Discretionary performance-based bonus

Wellness initiatives

Continuous learning and professional发展

Job summary

Mutual Group is a mission-driven, independent financial services firm serving 1,600+ professionals nationwide with over $14B in assets. We seek a Compliance Principal to own the supervision program, oversee account and trade surveillance, AML/CIP monitoring, and training initiatives.

The role requires deep knowledge of SEC/FINRA rules, Series licenses, and robust investigative writing skills; remote work from the United States is supported, with leadership across the Compliance function.

Qualifications

• Bachelor's degree in business, finance, or related field.
• 5+ years in broker-dealer or RIA compliance, including principal reviews.
• Active Series 7, 24, and 63 licenses.
• Solid knowledge of SEC/FINRA rules, AML and CIP requirements, and Reg BI.
• Experience with surveillance platforms and Excel/SharePoint.
• Strong investigative, analytical, and writing skills; documentation of decisions.

Responsibilities

• Review surveillance reports and trade alerts; resolve sales practice concerns.
• Perform secondary reviews of high-risk accounts and approve transactions.
• Investigate issues, document findings, and drive corrective actions.
• Review insurance and annuity suitability; document approval decisions.
• Escalate exceptions and coordinate with advisors to resolve them.
• Run AML/CIP monitoring, investigations, and due diligence.
• Monitor portfolios for concentration and risk; produce metrics.
• Support Compliance case queue; provide guidance to advisors/clients.
• Compile data for regulatory examinations and draft responses.
• Create training and job aids; back up coverage for reviews.

Skills

Broker-dealer compliance experience

Active Series 7, 24, 63 licenses

SEC and FINRA rules knowledge

AML/CIP requirements knowledge

Excel and SharePoint proficiency

Education

Bachelor's degree in business or finance

Tools

Surveillance platforms

Compliance workflow tools

Job description

Mutual Group is a mission-driven, independent financial services firm serving 1,600+ professionals nationwide with over $14B in assets. We seek a Compliance Principal to own the supervision program, oversee account and trade surveillance, AML/CIP monitoring, and training initiatives.

The role requires deep knowledge of SEC/FINRA rules, Series licenses, and robust investigative writing skills; remote work from the United States is supported, with leadership across the Compliance function.