Security Professional

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

Russell Tobin is partnering with a leading Midwest financial institution seeking a General Securities Principal to support broker‑dealer supervision and regulatory compliance oversight.

This role is responsible for reviewing and approving transactions, conducting suitability assessments, and ensuring adherence to internal policies and SEC/FINRA regulations. The position partners closely with another Principal to manage supervisory workflows and strengthen compliance processes.

This opportunity is remote eligible with a requirement to travel onsite once per month (expenses paid) and 2–3 days onsite during the first week for onboarding.

Key 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
• Maintain deep product knowledge across brokerage and annuity offerings
• Partner with internal stakeholders on product updates and compliance communications
• Support new product implementation and operational enhancement initiatives
• Manage signature guarantee processes and related controls
• Make timely, independent supervisory decisions within a shared queue environment

Required Qualifications:

• Active Series 7 license
• Active Series 66 or 63 license
• 3+ years of financial services experience
• Experience within a broker‑dealer environment
• Strong understanding of suitability standards and transaction supervision

Preferred Qualifications:

• Series 24, 26, 53, and/or 4 (or ability to obtain within 6 months)
• Prior supervisory or OSJ experience
• Experience with Salesforce and/or clearing firm systems