Supervisory Principal Series 24

A growing financial services organization is seeking an experienced Supervisory Principal who holds their Series 24. This role will be responsible for the Supervision of all sales activities of registered representatives.

Responsibilities

• Provide day-to-day supervision and guidance to Financial Advisors and registered representatives


• Partner closely with advisors on sales practices, complex transactions, client situations, and regulatory requirements


• Monitor sales activity and identify potential supervisory, compliance, or business risks


• Work alongside Relationship Management, Compliance, and Legal to resolve issues and support advisor needs


• Serve as a key resource for advisors, ensuring they have the tools, guidance, and support needed to successfully grow their businesses


• Build strong relationships with advisors and key stakeholders across the organization


• Identify opportunities to improve supervisory processes and create greater efficiencies


• Partner with senior leaders on risk and regulatory initiatives


• Support regulatory examinations and audits and help drive resolution of identified issues


• Escalate higher-risk or complex matters when appropriate while maintaining a practical, solutions-oriented approach

Qualifications

• Bachelor’s degree in Finance, Business Administration, or related field preferred


• 5+ years of financial services experience


• Strong understanding of wealth management, brokerage operations, sales practices, and regulatory requirements


• Demonstrated ability to build credibility and strong relationships with Financial Advisors


• Strong judgment, communication, and problem-solving skills


• Bilingual Spanish and English is required


• FINRA Series 7 and Series 24 required