Corporate Supervisory Principal

What You’ll Do: Review and approve or escalate advisor email and electronic communications flagged by surveillance systems, following applicable regulatory requirements and firm policy Conduct trade review (daily trade blotters and exception reports) to assess suitability, Regulation Best Interest (Reg BI) considerations, concentration, and product-specific requirements Identify and escalate red flags such as excessive trading, unsuitable recommendations, unapproved outside business activities, and potential customer harm Document supervisory review, findings, and resolutions clearly and accurately in internal systems Contact advisors and branch personnel to request information, clarify activity, and resolve open items Meet daily and weekly review deadlines and quality standards Partner with Compliance, Risk, and other supervision teams on escalations and trends Stay up to date on regulatory changes and internal policy updates

Required Qualifications: Experience in broker-dealer supervision, compliance, and/or trade/correspondence review Working knowledge of FINRA and SEC rules, including Reg BI, suitability, and communications rules Strong attention to detail and sound judgment Clear, professional written and verbal communication skills Ability to work independently in a high-volume, deadline-driven environment

Preferred Qualifications: Experience in an independent broker-dealer or hybrid RIA environment Familiarity with surveillance and review platforms Experience reviewing alternative investments, annuities, or advisory accounts Bachelor’s degree in finance, business, or a related field If you’re interested, please apply with an updated resume.