Job Posting Designated Principal

Job Title

The financial industry requires supervision of electronic communications. This includes email, texting social media and other forms of electronic communications.

Responsibilities

Primary duties will include:

• Email review and approval
• Social media monitoring
• Other forms of electronic communication review
• This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary.

Qualifications

Qualifications:

• 2 years of experience in broker dealer supervision
• Email surveillance experience
• Experience with Global Relay, Excel other supervisory tools
• Good communication skills

Education requirements:

• College degree or Industry Experience
• Series 7, 24 and 63

Working Environment:

• In-office