The Regional Supervisory Principal is responsible for supervising registered representatives, principals, and associated persons of the RIA/broker-dealer. This role also identifies, mitigates, and remediates regulatory risks, and drives awareness and adherence to regulations and firm policies.
Key Responsibilities and Duties- Supervises services personnel and processes to ensure adherence to company compliance guidelines, and industry rules and regulations.
- Reviews sales activity utilizing a strong knowledge of products, sales processes, and oversight.
- Conducts periodic internal reviews in preparation for compliance or regulatory audits.
- Proactively engage business partners across the organization to resolve or escalate issues.
- Promote the adoption of controls and compliance through ongoing training, meetings, and consulting activities.
- May participate in department initiatives and projects and serve as subject matter expert in business initiatives.
Educational Requirements- University (Degree) Preferred
Work Experience- 5+ Years Required; 7+ Years Preferred
FINRA Registrations- SRC Indicator: Series 7; Series 24; Series 65 & Series 66 preferred
Physical Requirements- Physical Requirements: Sedentary Work
Career Level 8IC
Additional Details- This individual will oversee registered representatives in the Charlotte and New York City locations
- A background in compliance and supervision is preferred
- Ideal candidate possesses detailed research skills and is naturally curious
- Experience with Excel
- Knowledge of enterprise operations with high resolve and strong relationship management skills
Related Skills
Business Acumen, Business Process Improvement, Business Process Understanding, Communication, Compliance, Continuous Improvement Mindset, Detail-Oriented, General Risk Management, Influence, Relationship Management, Risk Mitigation, Risk Monitoring
Anticipated Posting End Date:2026-06-16
Base Pay Range: $69,000/yr - $101,000/yr
Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans).
