Remote Securities Principal: Compliance & Supervision

Russell Tobin; Green Bay (WI); Hybrid; USD 80,000 - 120,000; Full time

Job summary

A leading Midwest financial institution is looking for a General Securities Principal to support broker-dealer supervision and ensure compliance with regulations. This remote eligible position involves conducting suitability assessments and approving transactions while working closely with another Principal. Minimum qualifications include active Series 7 and 66 or 63 licenses along with 3+ years of experience in financial services. The role also requires occasional travel to the office for onboarding and meetings.

Qualifications

• Must have an active Series 7 license.
• Must have an active Series 66 or 63 license.
• Minimum 3 years of financial services experience.

Responsibilities

• Conduct suitability reviews of new business and transactions requiring Principal approval.
• Ensure documentation accuracy and enforce sales practice standards.
• Review and test supervisory procedures in alignment with regulatory requirements.

Skills

Active Series 7 license

Active Series 66 or 63 license

Financial services experience

Transaction supervision

Tools

Salesforce

Job description

A leading Midwest financial institution is looking for a General Securities Principal to support broker-dealer supervision and ensure compliance with regulations. This remote eligible position involves conducting suitability assessments and approving transactions while working closely with another Principal. Minimum qualifications include active Series 7 and 66 or 63 licenses along with 3+ years of experience in financial services. The role also requires occasional travel to the office for onboarding and meetings.