State Licensed Supervisory Principal

A company is looking for a Supervisory Principal.

Key Responsibilities

Supervise suitability reviews and approvals for complex product transactions

Act as a subject matter expert and liaison with vendors and wholesalers

Lead investigations of questionable sales activity and assist with regulatory exams

Required Qualifications

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

Series 7, 66 (or 63 and 65), 24 (or 9 and 10) required, or ability to obtain within 90 days

7+ years of industry experience

Strong understanding of complex products and knowledge of financial regulations

Knowledge of mutual funds, annuities, and general securities required