Supervisory Principal

Pay range dependent on licensing, and specific position/responsibilities


Join a Fortune 500 leader in the financial services industry during a period of major expansion and integration. Our client is a nationally recognized wealth management firm known for its award-winning advisor support, culture of compliance excellence, and continued growth through mergers and acquisitions. As part of a large-scale transition project, we’re hiring 20 Supervisory Principals and Operational Specialists to support critical review and oversight functions in preparation for an upcoming platform conversion.

These fully remote contract roles offer competitive hourly rates, exposure to an enterprise-level compliance environment, and the opportunity to work with a respected industry leader recognized for stability, innovation, and long-term career development.
 

The Supervisory Principal team will play a key role in ensuring a smooth transition and maintaining the firm’s high standards of compliance oversight and advisor support. These professionals will be assigned to one of several key functional areas — Background Review, Outside Business Activity (OBA) Review, Advertising/Marketing Review, or Operations Support — depending on licensing and experience.

Background Review (Approx. 5 positions)

• Conduct comprehensive background reviews of financial advisors joining the platform

• Investigate disclosures and assess potential compliance risks

• Communicate findings and recommendations to internal stakeholders

• Collaborate with advisor relations and compliance teams to resolve issues

Outside Business Activity (OBA) Review (Approx. 5 positions)

• Review and evaluate advisors’ external business activities for potential conflicts of interest

• Conduct due diligence and risk analysis aligned with firm and FINRA standards

• Interact with advisors to clarify or document activity details

• Prepare summaries and recommendations for compliance approval

Advertising/Marketing Review (Approx. 10 positions)

• Review advisor advertising, websites, social media, and other marketing materials for compliance

• Ensure content meets regulatory and firm branding standards

• Partner with marketing teams and advisors to make compliant revisions

• Provide subject-matter guidance on marketing and communications within a financial services context

Operational Specialist Roles (Approx. 3-4 positions, Non-Licensed)

• Support core compliance operations including email monitoring, report distribution, and data validation

• Perform administrative and investigative tasks supporting licensed teams

• Handle credit pulls, mailbox management, and other operational functions to maintain workflow efficiency
   

For Licensed Supervisory Principal Roles:

• Active FINRA Series 24 license required (must be current or within a two-year window of most recent firm registration)

• Additional FINRA licenses (Series 7, 9/10, 63, or 65) preferred but not required

• Experience in compliance, supervision, or advisor oversight within financial services

• Strong investigative and analytical capabilities with sound regulatory judgment

For Advertising/Marketing Review Specialists:

• Series 24 license required

• Prior experience reviewing marketing or advertising materials in a financial or regulatory setting strongly preferred

• Understanding of FINRA Rule 2210 and related advertising standards a plus

• Ability to provide constructive compliance feedback in a collaborative, advisory tone

For Operational Specialist Roles (Non-Licensed):

• Prior experience supporting compliance, operations, or risk functions in financial services preferred

• Strong organizational and administrative skills

• Proficiency with reporting tools, shared mailboxes, and general office technology

• Ability to manage multiple workflows and deadlines

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