Series 24 Supervisory Principal

Job Summary

A company is looking for a Supervisory Principal.

Key Responsibilities

• Coordinate trade and new account supervision for Registered Representatives/Investment Advisor Representatives
• Review broker/dealer trade activity and new accounts for suitability and compliance
• Conduct field office training and perform supervisory reviews of correspondence

Required Qualifications, Training, and Education

• Bachelor's degree and/or 5-7 years of industry experience, including compliance experience
• Series 7, 24 or 9/10, and 66 or 63/65 licenses required
• Series 53, 24 if 9/10 only, required within 3 months of hire
• Series 4, Life and Health Insurance licenses are a plus but not required