Associate Supervision Principal — Compliance & Relationship
Social Capital Resources
Social Capital Resources seeks an Associate Supervision Principal to support Financial Professionals with regulatory compliance, transaction review, and day-to-day supervision. You will liaise with Senior Relationship Managers and internal teams to ensure adherence to FINRA, SEC, and DOL requirements. The role requires 2+ years in a Broker-Dealer or RIA, with knowledge of Reg BI, AML, and investment products, plus strong communication and relationship-building skills. #J-18808-Ljbffr Social Capital Resources
Vacancy posted 3 days ago
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