State Licensed Senior Principal

Job Summary

A company is looking for a Sr Principal.

Key Responsibilities

• Conduct complex reviews and monitor activity of the firm's insurance, securities, and retail advisory business for compliance
• Identify, address, and document concerns, escalating when appropriate
• Provide assistance to management and offer professional customer service to members and field personnel

Required Qualifications

• College degree or equivalent work experience required
• 5-7 years of experience in the financial services industry or related compliance experience
• Advanced knowledge of FINRA/SEC/IA/NAIC/MSRB rules and regulations
• FINRA Series 6, 7, 24, 26, 63/65, 66, 4, 51, 52, 53, and/or 9/10 required or to be obtained within 90 days of hire
• Thorough understanding of financial services industry products, including life and annuities, mutual funds, and advisory products