Sales Supervisor Principal

AltsWire; Ann Arbor (MI); Remote; USD 60,000 - 100,000; Full time

Job summary

An established industry player is seeking a Sales Supervisor Principal to lead their sales supervisory framework. This role involves ensuring compliance with SEC and FINRA regulations, assessing risks, and refining supervisory processes in a dynamic environment. You will collaborate with various departments to facilitate problem resolution and enhance internal policies. If you possess strong regulatory knowledge, excellent communication skills, and a service-oriented nature, this is a fantastic opportunity to shape the future of risk management while contributing to a growth-focused organization.

Qualifications

• Strong understanding of compliance issues in the securities industry.
• Ability to make risk-based decisions and provide clear directions.

Responsibilities

• Lead the sales supervisory framework ensuring compliance with regulations.
• Assess risks in trading and implement effective mitigation strategies.

Skills

Knowledge of SEC regulations

Risk management

Strong communication skills

Attention to detail

Ability to multitask

Financial industry experience

Education

FINRA Series 7 registration

FINRA Series 63 registration

FINRA Series 24 registration

Tools

Word processing software

Spreadsheet software

Job description

As the Sales Supervisor Principal of Securities, you’ll play a meaningful role in protecting the firm’s integrity, ensuring adherence to SEC, FINRA, and state regulations while developing outstanding supervisory processes, while shaping the future of risk management in a multifaceted, growth-focused environment.

Responsibilities and Duties:

• Lead the firm’s sales supervisory framework, ensuring compliance with internal policies and external regulations.
• Assess risks in trading, sales, and operations, implementing effective risk mitigation strategies.
• Coordinate internal and external audits, address findings, and improve supervisory controls.
• Continuously refine supervisory procedures and technologies to adapt to an evolving regulatory landscape.
• Identify and react to a vast variety of day‐to‐day issues that will affect the company in many ways, both compliantly and logistically, and create realistic plans to overcome them.
• Gather data and compile various reports for management.
• Assist in the development of internal company policies and see that they are respected.
• Work collaboratively with all firm departments and clientele to facilitate problem resolution.
• Answer general incoming calls on an as needed basis.
• Greet visitors with professionalism and courtesy.
• Various Projects, as needed.

Abilities Required:

• Must possess strong knowledge and understanding of SEC, FINRA and other regulatory frameworks governing BD activities, including knowledge of trading, sales, and compliance issues in the securities industry
• Requires the ability to make risk-based business decisions and then execute by providing clear and concise directions to employees and clientele
• Must possess a service‐oriented nature, excellent human relations skills and a solid work ethic with a positive attitude.
• Ability to work independently in a fast‐paced environment.
• Must be well organized, flexible and adaptable within a transformational firm.
• Must have strong attention to detail and be able to multitask and switch gears easily.
• Ability to prioritize tasks and goals, ensuring timeliness.
• Ability to communicate well verbally and in writing.
• Must be able to make decisions and recommendations to benefit the firm.
• Financial industry experience and/or experience with financial products/services
• Proficient in computer programs, such as word processing and spreadsheet software programs

Licensing and Requirements: FINRA Series 7, 63 and 24 registration required

Position: Full time. Remote or Ann Arbor, MI based.

This Job Description is not a complete statement of all duties and responsibilities comprising the position. Job descriptions are not intended and do not create employment contracts. The organization maintains its status as an at-will employer. Employees can be terminated for any reason not prohibited by law.

Application Instructions:

To apply, please send resume and introductory e-mail to: