Senior Supervisory Principal - Broker-Dealer OSJ Lead
Leeds Professional Resources
Leeds Professional Resources is seeking a Supervisory Principal to join their team in Miami, Florida. The role requires a Series 24 and involves liaising with practices transitioning to the broker dealer home office OSJ direct model, coordinating FINRA filings, and reviewing securities transactions. Qualified candidates should have a Bachelor's degree or equivalent experience and be capable of overseeing branch offices throughout the United States and US Territories. Responsibilities include conducting risk assessments and supporting regulatory compliance. #J-18808-Ljbffr
Vacancy posted 4 days ago
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