Corporate Supervisory Principal

Job Description

Corporate Supervisory Principal

Overview

\n 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

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

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

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• Experience in an independent broker-dealer or hybrid RIA environment
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• Familiarity with surveillance and review platforms
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• Experience reviewing alternative investments, annuities, or advisory accounts
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• Bachelor’s degree in finance, business, or a related field
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If you’re interested, please apply with an updated resume.