Corporate Supervisory Principal

Corporate Supervisory Principal

Overview

We’re seeking a Corporate Supervisory Principal to review advisor email communications and trading activity for compliance with FINRA, SEC, and state regulations, as well as internal supervisory policies. This role is fast-paced and high-volume, and is ideal for someone who can work independently while exercising strong judgment and attention to detail.

What You’ll Do

• Review and approve or escalate advisor email and electronic communications flagged by surveillance systems, following applicable regulatory requirements and firm policy
• Conduct trade review (daily trade blotters and exception reports) to assess suitability, Regulation Best Interest (Reg BI) considerations, concentration, and product-specific requirements
• Identify and escalate red flags such as excessive trading, unsuitable recommendations, unapproved outside business activities, and potential customer harm
• Document supervisory review, findings, and resolutions clearly and accurately in internal systems
• Contact advisors and branch personnel to request information, clarify activity, and resolve open items
• Meet daily and weekly review deadlines and quality standards
• Partner with Compliance, Risk, and other supervision teams on escalations and trends
• Stay up to date on regulatory changes and internal policy updates

Required Qualifications

• Experience in broker-dealer supervision, compliance, and/or trade/correspondence review
• Working knowledge of FINRA and SEC rules, including Reg BI, suitability, and communications rules
• Strong attention to detail and sound judgment
• Clear, professional written and verbal communication skills
• Ability to work independently in a high-volume, deadline-driven environment

Preferred Qualifications

• Experience in an independent broker-dealer or hybrid RIA environment
• Familiarity with surveillance and review platforms
• Experience reviewing alternative investments, annuities, or advisory accounts
• Bachelor’s degree in finance, business, or a related field

If you’re interested, please apply with an updated resume.