Senior Supervisory Principal: Wealth Mgmt & Compliance
Oliver James
Oliver James is seeking a Senior Supervisory Principal to oversee branch supervision, regulatory compliance, and operational leadership across a boutique wealth-management firm in Florida. The role supports a large advisor population and requires hands-on leadership, building processes, mentoring teams, and delivering practical regulatory solutions. Ideal candidate will navigate complex FINRA and SEC matters, review advertising and trade activity, and lead from the front to drive growth and #J-18808-Ljbffr Oliver James
Vacancy posted 3 days ago
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