Supervisory Principal

Description

We are currently looking to hire an Analyst within the Advisor Review area of the Business Risk Management department within the Compliance, Legal and Risk (CLR) organization. The Advisor Review Analyst is a first line defense function responsible for the review of high risk representatives wishing to join and review of Outside Business Activity and Private Securities Transaction Requests for advisors. The Analyst will work closely with other departments throughout the onboarding process : Recruiting, Branch Development, New Client Onboarding and Registration Services, as well as several departments throughout for existing Advisors.

Specific areas of responsibility include, but are not limited to :

 Review requests for Outside Business Activities & Private Securities Transactions submitted by advisors

 First line supervisory responsibility to conduct due diligence review on high risk registered representatives before they join

 First line supervisory responsibility to conduct due diligence review on Non-Licensed Associates with prior registration histories, Office Sharing Arrangements, Delegations, and Termination Risk Reviews

 Interacts with advisors, business consultants and various internal departments as well as upper levels of management in fully evaluating and communicating compliance determination, as well as, coordination of special projects and investigations

 Works with assigned business units and provides supervisory expertise and consulting for projects and initiatives

 Coordinates high risk profile reviews with the Regional Supervisory Principal in Home Office Supervision

 Identifies suspicious risk profiles and ensures all appropriate information and details are gathered in order to make an appropriate decision

 Assist with regulatory exams and requests as well as assist with other internal investigations and reviews

 Create and analyze departmental metrics to assist to boost overall efficiency and productivity

 Performs other duties and completes ad hoc projects as assigned

Skills

OBA, Series 7, Series 24, series 63, Series 66

Top Skills Details

OBA,Series 7,Series 24

Additional Skills & Qualifications

Qualifications :

 Undergraduate degree in Business, Accounting, Finance or related discipline

 Minimum of 3-5 years industry experience

 Licenses / Certifications Required : Series 7, Series 24

 Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, SharePoint, and Visio. Familiarity with Salesforce and Oracle a plus

Other Job Duties :

 Ability to work in a fast paced / high volume environment and be flexible with work schedule

 Knowledge of FINRA SEC, and State rules and regulations

 Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position

 Excellent oral and written communication skills

 Ability to make regulatory and risk-based decisions will be necessary to complete the day-to-day functions of the role

 Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential

Job Type & Location

This is a Contract position based out of Charlotte, NC.

Pay and Benefits

The pay range for this position is $40.00 - $45.00 / hr.

Eligibility requirements apply to some benefits and may depend on your job

classification and length of employment. Benefits are subject to change and may be

subject to specific elections, plan, or program terms. If eligible, the benefits

available for this temporary role may include the following :

• Medical, dental & vision
• Critical Illness, Accident, and Hospital
• 401(k) Retirement Plan – Pre-tax and Roth post-tax contributions available
• Life Insurance (Voluntary Life & AD&D for the employee and dependents)
• Short and long-term disability
• Health Spending Account (HSA)
• Transportation benefits
• Employee Assistance Program
• Time Off / Leave (PTO, Vacation or Sick Leave)

Workplace Type

This is a fully remote position.

Application Deadline

This position is anticipated to close on Dec 12, 2025.

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About TEKsystems :

We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.

The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.

About TEKsystems and TEKsystems Global Services

We’re a leading provider of business and technology services. We accelerate business transformation for our customers. Our expertise in strategy, design, execution and operations unlocks business value through a range of solutions. We’re a team of 80,000 strong, working with over 6,000 customers, including 80% of the Fortune 500 across North America, Europe and Asia, who partner with us for our scale, full-stack capabilities and speed. We’re strategic thinkers, hands-on collaborators, helping customers capitalize on change and master the momentum of technology. We’re building tomorrow by delivering business outcomes and making positive impacts in our global communities. TEKsystems and TEKsystems Global Services are Allegis Group companies. Learn more at TEKsystems.com.

The company is an equal opportunity employer and will consider all applications without regard to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.