Remote Regional Supervisory Principal, Broker-Dealer

A leading financial services firm is seeking a Regional Supervisory Principal to oversee compliance for registered representatives and investment adviser representatives. This remote role involves ensuring adherence to FINRA and SEC regulations, conducting audits, and providing compliance guidance. Candidates should possess significant experience in compliance or supervisory roles, a Bachelor's degree, and relevant FINRA licenses. The organization promotes diversity and values all qualified applicants, ensuring equal employment opportunities. #J-18808-Ljbffr