Supervisory Principal

AtWork; San Diego (CA); On-site; USD 100,000 - 110,000; Full time

Benefits offered by this job

401(k)

Health insurance

Life insurance

Job summary

A financial firm in San Diego is seeking a Supervisory Principal to oversee advisors and manage compliance processes. The ideal candidate must hold FINRA Series 7 and 24 certifications, along with 2+ years of supervisory experience. Responsibilities include transaction review, conducting monthly risk reports, and addressing advisor training needs. This is a full-time position with a competitive salary range of $100,000 to $110,000 annually.

Qualifications

• 2+ years compliance, supervision, or surveillance experience required.
• FINRA Series 7, 24 (or S9/10) are required.
• Knowledge of mutual funds, annuities, general securities, and other financial products required.
• Knowledge of FINRA, SEC, and State rules and regulations.

Responsibilities

• First-line supervisory responsibility for assigned advisors and OSJ Managers.
• Review and approve transactions.
• Conduct monthly reports designed to detect transaction-based risk.

Skills

Compliance experience

Supervisory experience

Knowledge of mutual funds

Knowledge of FINRA regulations

Job description

Financial Firm in San Diego looking for a Supervisory Principal with a Series 7 and Series 24 to perform these duties:

• First-line supervisory responsibility for assigned advisors and OSJ Managers as part of a supervisory team
• Accept new accounts on behalf of the firm
• Review and approve transactions
• Perform OSJ license review and transaction review
• Identify and execute training based on advisor needs and opportunities
• Work with financial professionals to address concerns
• Review electronic correspondence through email monitoring system
• Create and analyze monthly reports designed to detect transaction-based risk
• Conduct post review of trades for suitability

Requirements:

• 2+ years compliance, supervision, or surveillance experience required
• FINRA Series 7, 24 (or S9/10) are required
• Knowledge of mutual funds, annuities, general securities, and other financial products required
• Knowledge of FINRA, SEC, and State rules and regulations

If this sounds like you, apply today for immediate consideration. This firm is growing and needs you to continue its success.

Job Type: Full-time

Pay: $100,000.00 - $110,000.00 per year

• 401(k)
• Health insurance
• Life insurance