Supervisory Principal - Broker/Dealer
Leeds Professional Resources
We are seeking a Supervisory Principal to join our client's team! This role requires a Series 24.
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
•FINRA Series 24
•Bachelor's/University degree or equivalent experience
Vacancy posted 1 day ago
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