Remote Regional Supervisory Principal (Broker-Dealer)

A major financial services firm is seeking a Regional Supervisory Principal to oversee the compliance of registered representatives. This remote position requires substantial experience in financial services compliance and supervisory roles. Key responsibilities include reviewing transactions, conducting audits, and providing guidance on regulatory issues. Strong analytical skills and knowledge of FINRA rules are essential. This role offers a salary range of $71,500 to $105,400 annually, along with opportunities for professional development. #J-18808-Ljbffr