Supervisory Principal - Broker/Dealer

Leeds Professional Resources; Miami (FL); On-site; USD 110,000 - 170,000; Full time

Job summary

Leeds Professional Resources is seeking a Supervisory Principal for a client team in the United States. The role requires a Series 24 and fluency in English and Spanish, with the ability to oversee regulatory compliance and risk management.

The successful candidate will coordinate with broker-dealer OSJs and support the home office OSJ direct model, supervise supervisory procedures, and liaise with compliance during FINRA filings and regulatory exams.

Qualifications

• Bachelor's degree or equivalent experience required.
• Series 24 license is required.
• Fluency in English and Spanish is required.

Responsibilities

• Act as liaison for transitioning practices to the broker dealer home office OSJ direct model.
• Collaborate with broker dealer OSJs and share best practices for the home office OSJ direct model.
• Coordinate FINRA filings with the compliance team.
• Review securities transactions on the electronic trade blotter (equities, fixed income, funds, UITs, municipal securities, 529).
• Report to senior management with quarterly risk assessments and suggest new policies or procedures.

Education

Bachelor's/University degree or equivalent experience

Job description

We are seeking a Supervisory Principal to join our client's team! This role requires a Series 24 and fluency in English and Spanish.

Responsibilities

• Act as a liaison for transitioning practices to the broker dealer home office OSJ direct model
• Collaborates with broker dealer OSJs and shares best practices associated with the home office OSJ direct model
• Coordinate FINRA filings with compliance team
• Review of securities transactions on the electronic trade blotter including but not limited to equities, fixed income, mutual funds, UITs, municipal securities, and 529
• Reports to senior management with quarterly risk assessments and may propose new policies or procedures regarding risk
• Performs reviews of client accounts and documents and helps resolves client complaints
• Assist with regulatory exams and requests assist with the maintenance of the department’s written supervisory procedures
• Handle Registration issues
• Lead and/or participate on project teams to upgrade/ implement new regulatory related systems special projects as needed
• Oversees and supports recruited branch offices throughout the United States and US Territories reporting to the broker dealer’s home office OSJ direct recruited model

Qualifications

• Bachelor's/University degree or equivalent experience