Supervisory Principal Series 24

A growing financial services organization is seeking an experienced Supervisory Principal who holds their Series 24. This role will be responsible for the Supervision of all sales activities of registered representatives.

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Responsibilities

• Provide day-to-day supervision and guidance to Financial Advisors and registered representatives
• Partner closely with advisors on sales practices, complex transactions, client situations, and regulatory requirements
• Monitor sales activity and identify potential supervisory, compliance, or business risks
• Work alongside Relationship Management, Compliance, and Legal to resolve issues and support advisor needs
• Serve as a key resource for advisors, ensuring they have the tools, guidance, and support needed to successfully grow their businesses
• Build strong relationships with advisors and key stakeholders across the organization
• Identify opportunities to improve supervisory processes and create greater efficiencies
• Partner with senior leaders on risk and regulatory initiatives
• Support regulatory examinations and audits and help drive resolution of identified issues
• Escalate higher-risk or complex matters when appropriate while maintaining a practical, solutions-oriented approach

Qualifications

• Bachelor's degree in Finance, Business Administration, xhyhwjd or related field preferred
• 5+ years of financial services experience
• Strong understanding of wealth management, brokerage operations, sales practices, and regulatory requirements
• Demonstrated ability to build credibility and strong relationships with Financial Advisors
• Strong judgment, communication, and problem-solving skills
• Bilingual Spanish and English is required
• FINRA Series 7 and Series 24 required