Corporate Supervisory Principal
Overview
We’re seeking a Corporate Supervisory Principal to review advisor email communications and trading activity for compliance with FINRA, SEC, and state regulations, as well as internal supervisory policies. This role is fast-paced and high-volume, and is ideal for someone who can work independently while exercising strong judgment and attention to detail.
What You’ll Do
- Review and approve or escalate advisor email and electronic communications flagged by surveillance systems, following applicable regulatory requirements and firm policy
- Conduct trade review (daily trade blotters and exception reports) to assess suitability, Regulation Best Interest (Reg BI) considerations, concentration, and product-specific requirements
- Identify and escalate red flags such as excessive trading, unsuitable recommendations, unapproved outside business activities, and potential customer harm
- Document supervisory review, findings, and resolutions clearly and accurately in internal systems
- Contact advisors and branch personnel to request information, clarify activity, and resolve open items
- Meet daily and weekly review deadlines and quality standards
- Partner with Compliance, Risk, and other supervision teams on escalations and trends
- Stay up to date on regulatory changes and internal policy updates
Required Qualifications
- Experience in broker-dealer supervision, compliance, and/or trade/correspondence review
- Working knowledge of FINRA and SEC rules, including Reg BI, suitability, and communications rules
- Strong attention to detail and sound judgment
- Clear, professional written and verbal communication skills
- Ability to work independently in a high-volume, deadline-driven environment
Preferred Qualifications
- Experience in an independent broker-dealer or hybrid RIA environment
- Familiarity with surveillance and review platforms
- Experience reviewing alternative investments, annuities, or advisory accounts
- Bachelor’s degree in finance, business, or a related field
If you’re interested, please apply with an updated resume.