Supervisory Principal - Broker/Dealer

Overview 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 #J-18808-Ljbffr Leeds Professional Resources