Supervisory Principal

Financial Firm in San Diego looking for a Supervisory Principal with a Series 7 and Series 24 to perform these duties:

• First-line supervisory responsibility for assigned advisors and OSJ Managers as part of a supervisory team
• Accept new accounts on behalf of the firm
• Review and approve transactions
• Perform OSJ license review and transaction review
• Identify and execute training based on advisor needs and opportunities
• Work with financial professionals to address concerns
• Review electronic correspondence through email monitoring system
• Create and analyze monthly reports designed to detect transaction-based risk
• Conduct post review of trades for suitability

Requirements:

• 2+ years compliance, supervision, or surveillance experience required
• FINRA Series 7, 24 (or S9/10) are required
• Knowledge of mutual funds, annuities, general securities, and other financial products required
• Knowledge of FINRA, SEC, and State rules and regulations

If this sounds like you, apply today for immediate consideration. This firm is growing and needs you to continue its success.

Job Type: Full-time

Pay: $100,000.00 - $110,000.00 per year

• 401(k)
• Health insurance
• Life insurance