Supervisory Principal – Central Supervision

Supervisory Principal – Central Supervision – Fully Remote

Join a dynamic team at a leading financial services firm as a Supervisory Principal specializing in Central Supervision. This pivotal role offers an exciting opportunity to leverage your expertise in compliance, regulation, and financial advisory practices within a fast-paced, high-volume environment. This role will be supporting a lot of the central supervision tasks as needed, playing a vital role in maintaining compliance and integrity across the organization.

Required Skills

• Licensure with FINRA Series 7, 24 (or 9&10)
• Preferred but not required 52,53 & 65, 66
• 3-5 years industry experience in finance, investment, or broker-dealer sectors
• Strong analytical and investigative skills for reviewing complex advisory activities
• Extensive knowledge of FINRA, SEC, and state regulations
• Proficiency in Microsoft Office Suite (Excel, Word, Access, PowerPoint, SharePoint, Visio)
  
  

Nice To Have Skills

• Direct experience as a licensed Principal in a broker-dealer environment
• Familiarity with Salesforce and Oracle platforms
• Background in trading, marketing reviews, email communications, annuity or social media review
• Experience conducting background checks or background investigations
• Prior involvement with regulatory examinations and internal investigations
  
  

Preferred Education And Experience

• Bachelor’s degree in Business, Finance, Accounting, or related field
• Proven experience in compliance review, supervision, or audit roles within financial services
  
  

Other Requirements

• Ability to work remotely in a flexible, fast-paced setting
• Exceptional attention to detail and problem-solving skills
• Effective verbal and written communication abilities
• Willingness to support special projects, investigations, and regulatory exam preparation
  
  

If you’re a driven compliance professional seeking to make an impact within a respected financial organization, this role offers an excellent platform to showcase your expertise and grow your career. Take the next step today—apply now and become a vital part of ensuring ethical and compliant advisory practices.

Associate Staffing is an Equal Opportunity Employer and does not discriminate against any employee or applicant for employment based on race, color, religion, sex, national origin, age, disability, veteran status, sexual orientation, gender identity, or any other protected status under applicable law. We are committed to creating a diverse and inclusive work environment and welcome applicants from all backgrounds to apply for open positions with our company.