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 2 days ago
Similar jobs that could be interesting for youBased on the Supervisory Principal - Broker/Dealer in Miami, FL vacancy
- ...Sales Supervisor has the overall responsibility for providing day to day supervision and guidance to the assigned Advisors and/or Brokers. Provides guidance and support to the sales process and resolves any issues with clients by working closely with Senior Relationship...PrincipalTemporary workWork at office
- ...We are seeking a Chief Compliance Officer with Broker/Dealer experience to join our client's team! A Chief Compliance Officer (CCO) for... ...and maintain the firm's compliance program, including written supervisory procedures, policies, and best practices for areas such as client...Suggested
Leeds Professional Resources
Doral, FL1 day ago - Bci Miami is seeking a Broker-Dealer Intern in Miami, FL. This internship offers hands-on exposure to sales & trading, capital markets, and operations/compliance within a regulated securities environment. Interns will be involved in market monitoring, research, and preparation...SuggestedInternship
- Broker-Dealer Intern (Sales, Trading & Operations) Miami, FL, United States Bci Securities is an Equal Opportunity Employer - All qualified applicants will receive consideration without regard to race, color, religion, gender, national origin, age, disability, veteran...SuggestedInternshipAfternoon shift
$115k - $150k
Job Opportunity At Blackstone Blackstone is the world's largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary...SuggestedWork experience placementLocal areaFlexible hours- Bci Miami is seeking an Operations Specialist to manage client onboarding and operational matters within the broker-dealer. Responsibilities include handling account documentation, supporting financial advisors, and ensuring compliance with regulations. The ideal candidate...
- Insigneo is seeking a Sales Supervisor to provide day-to-day supervision and guidance to Advisors/Brokers. The role includes ensuring compliance with sales processes and supporting the sales team in achieving their goals. The ideal candidate should have a Bachelor’s degree...
$107.12k - $160.68k
...Responsibilities:*** Perform daily reviews in support of the OSJ (Office of Supervisory Jurisdiction) and its Registered Representatives; this may... ...* Review and approval of designated bank-channel and broker-dealer investments* Manage surveillance alerts within stated policy...PrincipalFull timeWork at office- ...are essential. The role also involves overseeing and reviewing the work of the offshore team and administrators, so leadership and supervisory skills are a plus. The ideal candidate will be detail-oriented, proactive, and able to thrive in a fast-paced, dynamic...
Confidential
Miami, FL2 days ago - ...Job Description Job Description Vice Principal - Holy Cross Lutheran School Vice Principal - Job Description Holy Cross Christian... ...Experience overseeing the curriculum development Supervisory/Team Management Experience Experience in Urban Christian Education...PrincipalSummer workLive inWork at officeLocal area
Christian Career
Miami, FL3 days ago - ...Dealer Relationship Manager Develop and maintain strong relationships with dealers through in-person meetings, regular phone contact and written communications. Enroll new dealers, increase application flow, and maximize loan production in assigned territory. Essential...Full timePart timeWork at office
- ...reviewed only for technical adequacy, appropriateness of actions or decisions, and conformance with policy, or other requirements SUPERVISORY RESPONSIBILITIES None EMPLOYMENT AT-WILL Employees have a work-at-will relationship throughout their employment....Full timeFor subcontractorWork at officeLocal area
City of Opa Locka
Opa Locka, FL2 days ago - ...global law firm in Miami is seeking a Senior Executive Assistant to provide high-level administrative and strategic support to the Principal. This role involves managing the Principal's calendar, coordinating travel arrangements, and communicating with key clients....Principal
$93.4k - $124.5k
A leading information management company is seeking a Client Principal to provide strategic oversight and engage with executive stakeholders. Responsibilities include organizing workshops, managing project documentation, and finalizing scopes of work. The ideal candidate...PrincipalRemote workIron Mountain Inc
Doral, FL3 days ago- ...completion, ensuring that all priorities and goals are achieved. - Projects include additional recruiting support, which will require supervisory responsibilities. - Works with senior management to develop recruitment, sourcing, and talent pipeline strategies -...PrincipalMinimum wageContract workTemporary workWork experience placement
MAXIMUS
Miami, FL22 hours ago - A leading enterprise solutions provider is looking for a Principal Solution Architect to optimize planning engagements and deliver high-impact transformations. This role requires expertise in implementing enterprise planning solutions, particularly Anaplan. The successful...PrincipalRemote work
Anaplan
Doral, FL3 days ago - Anywhere Real Estate is seeking a Senior Title Examiner in Florida. The ideal candidate will have at least 5 years of Texas title examination experience and expertise in Residential Lot/Block properties. Responsibilities include thorough title searches, reviewing documents...
Anywhere Real Estate
Doral, FL3 days ago - Current Employees: If you are a current Staff, Faculty or Temporary employee at the University of Miami, please click here to log in to Workday to use the internal application process. To learn how to apply for a faculty or staff position, please review this tip sheet...Full timeTemporary workWork at officeWorldwide
The University of Miami
Miami, FL3 days ago - I did my part and supported the Regular Toilet is looking for a Principal User Researcher to understand user needs and drive product direction. This role involves collaboration across teams, emphasizing user research in product decisions and contributing to the company'...Principal
- Job Title: Energy Broker (Multiple Asset Classes/Roles, Team and Individual Moves) Location: Miami, FL / Other US Locations possible Imperium Commodity Search is confidentially and exclusively retained by a new-to-market but rapidly growing brokerage business with an aggressive...
- Current Employees: If you are a current Staff, Faculty or Temporary employee at the University of Miami, please click here ( to log in to Workday to use the internal application process. To learn how to apply for a faculty or staff position, please review this tip sheet...Full timeTemporary workWork at officeWorldwide
University of Miami
Miami, FL15 hours ago - ...Dealer Systems Trainer We are seeking a motivated Dealer Systems Trainer to support dealership partners by driving the successful implementation, training, and long-term adoption of technology platforms that enhance customer experience and operational performance....Remote workNight shift
- ...Principal Investigator – Clinical Trials (FloriFlorida-licensedequired) A growing clinical research organisation in Miami, FL is seeking a licensed physician (MD or DO) to serve as Principal Investigator across a portfolio of Phase I–IV clinical trials spanning neuroscience...PrincipalFull time
BioTalent
Miami, FL2 days ago $90k - $105k
Bridgeprep Academy, Inc. in Miami, FL is seeking a dedicated leader to improve student outcomes through coaching and development of teachers. The role requires a strong educational background, with a minimum of a bachelor's degree and at least 3 years of K-12 teaching experience...Principal$141k - $200k
Slalom is seeking an M&A Principal/Senior Principal in Miami, FL. In this role, you will execute operational due diligence, create integration strategies, and manage integration synergies. Ideal candidates will have proven M&A experience, IMO management skills, and the...Principal- Imperium Commodity Search seeks an Energy Broker in Miami, FL, for a rapidly growing brokerage focusing on multiple energy asset classes. This role offers significant autonomy and potential for market growth. Ideal candidates possess a substantial individual book and a...
- SolomonEdwards is seeking a Senior Property & Casualty Broker to work remotely in Miami, FL. The ideal candidate will have at least 10 years of experience in P&C insurance and be responsible for leading the strategic placement and negotiation of commercial insurance accounts...Remote job
- Senior Fund Accountant Job Description A leading global alternative asset manager is seeking a Senior Fund Accountant to support its private equity platform. This team is responsible for fund performance reporting and all aspects of accounting across a diversified...
Cyperus Group LLC
Doral, FL3 days ago - Proofpoint in Miami is looking for a Principal Product Manager for Applied AI & Agentic Solutions. This leader will identify, incubate, and scale AI-driven solutions to enhance service delivery, operational efficiency, and analyst productivity. The role requires over 8...PrincipalFlexible hours
$123.75k
...Dealer Commercial Services Senior Business Development Officer - Southeast Santander is a global leader and innovator in the financial services industry and is evolving from a high-impact brand into a technology-driven organization. Our people are at the heart of this...Hourly payContract workWork experience placementWork at officeLocal areaRemote workShift work
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Supervisory Principal - Broker/Dealer. Be the first to apply!
