TX Supervisory Principal (9)

Summary

As a full-time TX Supervisory Principal, the candidate will manage transaction reviews for compliance, assist financial professionals in obtaining necessary suitability information, and coordinate with internal partners to ensure timely processing of business operations in a hybrid work environment.Key responsibilitiesReview transaction submissions for risk and regulatory complianceCommunicate with financial professionals to gather suitability information and necessary formsResearch and resolve complex issues while maintaining strong relationships with business partnersRequired qualificationsMinimum of 2 years of experience in Financial Services, preferably in a supervisory roleFINRA Series 7 and Series 24 licenses requiredFINRA Series 53 license is encouragedSeries 66 (or Series 63 & 65) preferredExperience in data analysis and recognizing trends in large data sets

Job Description

As a full-time TX Supervisory Principal, the candidate will manage transaction reviews for compliance, assist financial professionals in obtaining necessary suitability information, and coordinate with internal partners to ensure timely processing of business operations in a hybrid work environment.Key responsibilitiesReview transaction submissions for risk and regulatory complianceCommunicate with financial professionals to gather suitability information and necessary formsResearch and resolve complex issues while maintaining strong relationships with business partnersRequired qualificationsMinimum of 2 years of experience in Financial Services, preferably in a supervisory roleFINRA Series 7 and Series 24 licenses requiredFINRA Series 53 license is encouragedSeries 66 (or Series 63 & 65) preferredExperience in data analysis and recognizing trends in large data sets