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Supervision Principal
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Full-time
- We are a broker-dealer and RIA providing support to financial advisors in all areas of their business: compliance, technology, marketing, operations, practice management, and more.
- Conducting suitability and best interest reviews of customer trading activity in securities, including mutual funds, variable annuities, equities, fixed income securities, etc.
- Assist in developing processes and procedures to ensure adherence to supervision requirements as required by FINRA, SEC, State and other regulators
- 3-7 years of experience in a compliance, supervision, and/or operations role at a BD and/or RIA
- FINRA Series 7, 66, Series 9/10.
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