About this role

To ensure compliance and effective oversight, the full-time remote State Licensed Supervisory Principal will manage the review of securities transactions, address account-level suitability alerts, and collaborate with the Compliance Department to enhance supervisory processes. Key responsibilities Review and analyze securities transactions to identify potential sales practice concerns Address suitability alerts for brokerage and advisory accounts and escalate issues as necessary Support the development and enhancement of supervisory policies and procedures in collaboration with Operations and Compliance Required qualifications 1-3 years' experience in the financial services industry Bachelor's degree or equivalent work experience Series 7 and 24 (or 9/10), Series 63 & 65 or 66 (or ability to obtain within 6 months) Knowledge of retail brokerage and investment advisory programs Proficient with Microsoft Excel, PowerPoint, and Word

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